{"url":"https://nivawealth.com/firms/ardenwood-advisors-337412","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/337412","regulatoryAum":146025615,"crd":"337412","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3232763","suffix":null,"lastName":"Dong","firstName":"Flora","middleName":null}],"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"},"history":[{"filedOn":"2025-07-28","regulatoryAum":0,"clients":0,"employees":2,"offices":1},{"filedOn":"2026-07-10","regulatoryAum":146025615,"clients":12,"employees":3,"offices":1}],"secFileNumber":"801-133840","legalName":"Ardenwood Advisors, LLC","displayName":"Ardenwood Advisors","slug":"ardenwood-advisors-337412","website":"https://awadvisor.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/ardenwood-advisors/","xUrl":"https://x.com/ardengfo","founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":["Arden Global Family Offices"],"registration":{"secApproved":"8 July 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":12253797.57142857,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":146025615,"discretionary":123951782,"discretionaryAccounts":29,"nonDiscretionary":22073833,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":54,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":7,"regulatoryAum":85776583},{"label":"Pooled investment vehicles","clients":2,"regulatoryAum":8670080},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":5656831},{"label":"Corporations and other businesses","clients":2,"fewerThan5":true,"regulatoryAum":45922121}],"feePrograms":[{"role":"main","program":"Family Wealth Program","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060998","versionId":1060998,"ratePeriod":"annual","fee_billing":null,"submittedOn":"2026-10-13","documentName":"FORM ADV PART 2A - FIRM BROCHURE","fee_rate_low":null,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Standalone administrative services","summary":"Standalone administrative services carry a fixed fee that varies by client, with a maximum of $100,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060998","versionId":1060998,"submittedOn":"2026-10-13","documentName":"FORM ADV PART 2A - FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T18:06:35.725706+00:00","documents":[{"name":"FORM ADV PART 2A - FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060998","versionId":1060998,"submittedOn":"2026-10-13"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":119007580},{"name":"UBS Financial Services Inc.","shortName":"UBS Financial Services","location":"Weehawken, NJ","smaAssets":18347955}],"custodyNote":"Ardenwood Advisors has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Flora Dong","title":"Managing Member and Chief Compliance Officer","crd":"3232763"},{"name":"Patrick Burns","title":"General Counsel","crd":"2991172"},{"name":"Xiaotong Wang","title":"Member","crd":"8199784"}],"ownership":[{"label":"Flora Dong","detail":"Managing member and chief compliance officer in the 75% or more ownership band and a control person, since July 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"650-808-0875","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Subscription fees","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":45},{"label":"U.S. government/agency bonds","percent":10},{"label":"Investment grade corporate bonds","percent":2},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":36},{"label":"Cash and cash equivalents","percent":7}],"privateFunds":2},"sources":{"adv1FilingDate":"10 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/337412/PDF/337412.pdf","brochureDate":"13 October 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060998","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 Ardenwood Advisors have?","answer":"Ardenwood Advisors has 12 clients and manages $146 million for them, as of July 2026. They include 7 high-net-worth individuals, 2 pooled investment vehicles, and 2 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ardenwood Advisors offer?","answer":"Ardenwood Advisors provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and selecting other managers.","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 Ardenwood Advisors charge?","answer":"Ardenwood Advisors charges up to 2.00% a year for its Family Wealth Program. The fee is negotiable.","source":"FORM ADV PART 2A - FIRM BROCHURE, filed 13 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Ardenwood Advisors use?","answer":"Ardenwood Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $119M and UBS Financial Services Inc. (Weehawken, NJ), with $18.3M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Ardenwood Advisors have?","answer":"Ardenwood Advisors has 1 investment adviser representative registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Ardenwood Advisors invest in?","answer":"At the end of its last fiscal year, Ardenwood Advisors’ separately managed accounts held 45% exchange-traded equities, 36% pooled vehicles (private funds and similar), 10% U.S. government and agency bonds, 7% cash and equivalents and 2% investment grade corporate bonds. It advises 2 private funds.","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 Ardenwood Advisors?","answer":"Ardenwood Advisors’ direct owner is Flora Dong (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ardenwood Advisors get paid?","answer":"Ardenwood Advisors is paid through a percentage of assets under management, subscription fees, fixed fees and performance-based fees. Its Form ADV lists no commissions 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 Ardenwood Advisors?","answer":"Its phone number is 650-808-0875. Its website is awadvisor.com.","source":"Form ADV Part 1A, Item 1.F, filed 10 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."}