{"url":"https://nivawealth.com/firms/arin-risk-advisors-151491","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/151491","regulatoryAum":10186153552,"crd":"151491","secFileNumber":"801-70598","legalName":"Arin Risk Advisors LLC","displayName":"Arin Risk Advisors","website":null,"linkedinUrl":"https://www.linkedin.com/company/arin-risk-advisors-llc/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1100 East Hector Street, Suite 215","city":"Conshohocken","state":"PA","stateName":"Pennsylvania","country":"United States","postalCode":"19428"},"tradeNames":[],"registration":{"secApproved":"15 September 2009","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":11,"advisory":5,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"discretionary":10186153552,"discretionaryAccounts":21,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":5,"regulatoryAum":12153087},{"label":"Investment companies","clients":4,"regulatoryAum":9977622055},{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":1409202},{"label":"Other investment advisers","clients":10,"regulatoryAum":180819205},{"label":"Insurance companies","clients":1,"regulatoryAum":14150003}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Interactive Brokers LLC","shortName":"Interactive Brokers","location":"Greenwich, CT","smaAssets":21928014},{"name":"Osaic Wealth, Inc.","shortName":"Osaic Wealth","location":"Scottsdale, AZ","smaAssets":3057555}],"custodyNote":"Arin Risk Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Kimberly Jenkins-Rosenthal","title":"Chief Compliance Officer","crd":"5944824"},{"name":"Joseph Desipio","title":"Manager","crd":"1382875"},{"name":"Lawrence Lempert","title":"Chief Investment Officer","crd":"4860552"}],"ownership":[{"label":"Arin Holdings LLC","detail":"Member in the 75% or more ownership band and a control person, since April 2010."},{"label":"Joseph Desipio","detail":"Indirect owner: a managing member of Arin Holdings LLC in the 25% to 50% band and a control person, since April 2010.","parent":"Arin Holdings LLC"},{"label":"Lawrence Lempert","detail":"Indirect owner: a managing member of Arin Holdings LLC in the 25% to 50% band and a control person, since January 2012.","parent":"Arin Holdings LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"Pennsylvania","offices":1,"addresses":[{"street":"1100 East Hector Street, Suite 215","city":"Conshohocken","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"610-822-3400","stateRegisteredReps":5,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":12},{"label":"Derivatives","percent":21},{"label":"Securities issued by registered investment companies or business development companies","percent":35},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":6},{"label":"Cash and cash equivalents","percent":26}],"privateFunds":1},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/151491/PDF/151491.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Arin Risk Advisors have?","answer":"Arin Risk Advisors has 21 clients and manages $10.2 billion for them, as of March 2026. They include 10 other investment advisers, 5 high-net-worth individuals and 4 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Arin Risk Advisors offer?","answer":"Arin Risk Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Arin Risk Advisors use?","answer":"Arin Risk Advisors’ separately managed account assets are held at Interactive Brokers LLC (Greenwich, CT), with $21,928,014 and Osaic Wealth, Inc. (Scottsdale, AZ), with $3,057,555. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Arin Risk Advisors have?","answer":"Arin Risk Advisors has 5 investment adviser representatives registered with state securities authorities, out of 11 employees, and 5 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 Arin Risk Advisors invest in?","answer":"At the end of its last fiscal year, Arin Risk Advisors’ separately managed accounts held 35% registered funds (mutual funds, ETFs, BDCs), 26% cash and equivalents, 21% derivatives, 12% exchange-traded equities and 6% pooled vehicles (private funds and similar). It advises 1 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 Arin Risk Advisors?","answer":"Arin Risk Advisors is owned through a holding company by Joseph Desipio and Lawrence Lempert. Its direct owner is Arin Holdings LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Arin Risk Advisors get paid?","answer":"Arin Risk Advisors is paid through a percentage of assets under management, hourly charges, 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"}}],"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 Wealth 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."}