{"url":"https://nivawealth.com/firms/approach-capital-291807","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/291807","regulatoryAum":100000000,"crd":"291807","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4518393","suffix":null,"lastName":"STOTT","firstName":"GREGORY","middleName":"DON"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-136372","legalName":"Approach Capital LLC","displayName":"Approach Capital","slug":"approach-capital-291807","website":"https://approachcp.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/291807/447ac95a94469ee3-r1.webp","tone":"light","width":353,"height":200,"sourceUrl":"https://www.approachcp.com/","sourceLabel":"Approach Capital LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth 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LLC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:58:13.587925+00:00","documents":[{"name":"ADV PART 2A-APPROACH CAPITAL LLC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052383","versionId":1052383,"submittedOn":"2026-07-21"}]},"custodians":[{"name":"Vantage Self Directed Retirement Plans","shortName":"Vantage Self Directed Retirement Plans","location":"Phoenix, AZ","smaAssets":25000000},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":75000000}],"custodyNote":"Approach Capital does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Gregory Stott","title":"Managing Member & Chief Compliance Officer","crd":"4518393"}],"ownership":[{"label":"Gregory Stott","detail":"Managing member & chief compliance officer in the 75% or more ownership band and a control person, since December 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"4320 East Brown Road","city":"Mesa"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"480-993-9733","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":5},{"label":"Non-exchange-traded equity securities","percent":15},{"label":"Investment grade corporate bonds","percent":28},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":30},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":20}],"privateFunds":0},"sources":{"adv1FilingDate":"21 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/291807/PDF/291807.pdf","brochureDate":"21 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052383","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Approach Capital have?","answer":"Approach Capital has 100 clients and manages $100 million for them, as of July 2026. They include 85 high-net-worth individuals and 15 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 21 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Approach Capital offer?","answer":"Approach Capital provides portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Approach Capital charge?","answer":"Approach Capital charges 0.65%–1.50% a year for its Portfolio Management Fees. The whole portfolio is charged at the rate of its band. The fee is billed in advance.","source":"ADV PART 2A-APPROACH CAPITAL LLC, filed 21 July 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Approach Capital use?","answer":"Approach Capital’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $75M and Vantage Self Directed Retirement Plans (Phoenix, AZ), with $25M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 21 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Approach Capital have?","answer":"Approach Capital has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Approach Capital invest in?","answer":"At the end of its last fiscal year, Approach Capital’s separately managed accounts held 30% registered funds (mutual funds, ETFs, BDCs), 28% investment grade corporate bonds, 20% pooled vehicles (private funds and similar), 15% non-exchange-traded equities, 5% exchange-traded equities and 2% high-yield corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Approach Capital?","answer":"Approach Capital’s direct owner is Gregory Stott (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 21 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Approach Capital get paid?","answer":"Approach Capital is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Approach Capital?","answer":"Its phone number is 480-993-9733. Its website is approachcp.com.","source":"Form ADV Part 1A, Item 1.F, filed 21 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}