{"url":"https://nivawealth.com/firms/asset-preservation-advisors-106741","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/106741","regulatoryAum":11050515200,"crd":"106741","secFileNumber":"801-41636","legalName":"Asset Preservation Advisors, LLC","displayName":"Asset Preservation Advisors","website":"https://www.apabonds.com","linkedinUrl":"https://www.linkedin.com/company/asset-preservation-advisors","founded":null,"organization":"Georgia limited liability company","fiscalYearEnd":"December","headquarters":{"street":"3344 Peachtree Road, Ne, Suite 2050","city":"Atlanta","state":"GA","stateName":"Georgia","country":"United States","postalCode":"30326"},"tradeNames":[],"registration":{"secApproved":"27 May 1992","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":28,"advisory":20,"brokerDealerReps":3,"insuranceAgents":0,"promoters":1},"aum":{"discretionary":11050515200,"discretionaryAccounts":3029,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":4364553357,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":1033,"regulatoryAum":582921779},{"label":"High-net-worth individuals","clients":1714,"regulatoryAum":8588802053},{"label":"Investment companies","clients":1,"regulatoryAum":17711961},{"label":"Charitable organizations","clients":9,"regulatoryAum":31518711},{"label":"Corporations and other businesses","clients":272,"regulatoryAum":1829560696}],"fees":[],"feeNotes":[],"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Orlando, FL","smaAssets":1577600000},{"name":"Pershing Advisor Solutions LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":1534892603},{"name":"UBS Financial Services Inc.","shortName":"UBS Financial Services","location":"Weehawken, MA","smaAssets":1227462139}],"custodyNote":"Asset Preservation Advisors has custody of $229.1M for 54 clients.","otherCustodians":[],"leadership":[{"name":"Charles Doty","title":"Co-Chief Executive Officer / Partner","crd":"2520394"},{"name":"Kevin Woods","title":"Co-Chief Executive Officer / Chief Investment Officer / Partner","crd":"4740999"},{"name":"Patricia Hodgman","title":"President / Partner","crd":"5208451"},{"name":"Wesley Williams","title":"Chief Operating Officer","crd":"5880943"},{"name":"Tara Hart","title":"Chief Compliance Officer","crd":"7242865"},{"name":"Kyle Gerberding","title":"Managing Director / Partner","crd":"8064833"},{"name":"Kenneth Woods","title":"Chairman / Partner","crd":"600268"}],"ownership":[{"label":"Apa Fixed Income Advisors, LLC","detail":"Owner in the 50% to 75% ownership band and a control person, since September 2021."},{"label":"Im Square Holdings 8 LLC","detail":"Owner in the 25% to 50% ownership band and a control person, since September 2021."},{"label":"Charles Doty","detail":"Indirect owner: a managing member of Apa Fixed Income Advisors, LLC in the 25% to 50% band and a control person, since September 2021.","parent":"Apa Fixed Income Advisors, LLC"},{"label":"Kevin Woods","detail":"Indirect owner: a managing member of Apa Fixed Income Advisors, LLC in the 25% to 50% band and a control person, since September 2021.","parent":"Apa Fixed Income Advisors, LLC"},{"label":"Im Square Partners Holding","detail":"Indirect owner: a managing member of Im Square Holdings 8 LLC in the 75% or more band and a control person, since June 2021.","parent":"Im Square Holdings 8 LLC"},{"label":"Im Square Sas","detail":"Indirect owner: a owner of Im Square Partners Holding in the 75% or more band and a control person, since December 2020.","parent":"Im Square Partners Holding"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"officesByState":[{"state":"Georgia","offices":1,"addresses":[{"street":"3344 Peachtree Road, Ne, Suite 2050","city":"Atlanta","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"400 Madison Ave","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"404-261-1333","stateRegisteredReps":8,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"U.S. state and local bonds","percent":98},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/106741/PDF/106741.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Asset Preservation Advisors have?","answer":"Asset Preservation Advisors has 3,029 clients and manages $11.1 billion for them, as of March 2026. They include 1,714 high-net-worth individuals, 1,033 other individuals and 272 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Asset Preservation Advisors offer?","answer":"Asset Preservation Advisors provides portfolio management for individuals and small businesses, portfolio management for investment companies and portfolio management for institutions.","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 Asset Preservation Advisors use?","answer":"Asset Preservation Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Orlando, FL), with $1,577,600,000, Pershing Advisor Solutions LLC (Jersey City, NJ), with $1,534,892,603 and UBS Financial Services Inc. (Weehawken, MA), with $1,227,462,139. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Asset Preservation Advisors have?","answer":"Asset Preservation Advisors has 8 investment adviser representatives registered with state securities authorities, out of 28 employees, and 20 perform investment advisory functions. 3 are registered representatives of a broker-dealer and 0 are 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 Asset Preservation Advisors invest in?","answer":"At the end of its last fiscal year, Asset Preservation Advisors’ separately managed accounts held 98% state and local bonds and 2% cash and equivalents. It advises no private funds of its own.","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 Asset Preservation Advisors?","answer":"Asset Preservation Advisors is owned through a chain of holding companies by Charles Doty, Kevin Woods and Im Square Sas. Its direct owners are Apa Fixed Income Advisors, LLC (50% to 75%) and Im Square Holdings 8 LLC (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Asset Preservation Advisors get paid?","answer":"Asset Preservation Advisors is paid through a percentage of assets under management and fixed fees. 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"}}],"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."}