{"url":"https://nivawealth.com/firms/attentive-investments-315478","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/315478","regulatoryAum":197494206,"crd":"315478","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5267346","suffix":null,"lastName":"STONE","firstName":"ATHENA","middleName":"KAULANA"}],"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":"2021-06-22","regulatoryAum":0,"clients":0,"employees":1,"offices":1},{"filedOn":"2022-03-18","regulatoryAum":155083454,"clients":386,"employees":2,"offices":1},{"filedOn":"2023-03-15","regulatoryAum":121635141,"clients":391,"employees":2,"offices":1},{"filedOn":"2024-02-27","regulatoryAum":158281298,"clients":425,"employees":2,"offices":1},{"filedOn":"2025-03-19","regulatoryAum":181401319,"clients":420,"employees":3,"offices":1},{"filedOn":"2026-02-12","regulatoryAum":197494206,"clients":430,"employees":5,"offices":1}],"secFileNumber":"801-121822","legalName":"Attentive Investments, LLC","displayName":"Attentive Investments","slug":"attentive-investments-315478","website":"https://attentiveinv.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/315478/deb00c0f4769639e-r1.webp","tone":"light","width":489,"height":200,"sourceUrl":"https://www.attentiveinv.com/","sourceLabel":"Attentive Investments, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/attentive-investment-managers-inc","founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"5345 N El Dorado St., Suite 5","city":"Stockton","state":"CA","stateName":"California","country":"United States","postalCode":"95207"},"tradeNames":[],"registration":{"secApproved":"22 July 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Fees","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1,"from":0},{"to":1000000,"pct":0.75,"from":500000},{"to":null,"pct":0.5,"from":1000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1008598","versionId":1008598,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-02-12","documentName":"ADV PART 2A: FIRM BROCHURE","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Fees","summary":"Financial planning is charged hourly at $250.00 for a Certified Financial Planner and $102.50 for a clerical associate, based on an estimate of total hours.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1008598","versionId":1008598,"submittedOn":"2026-02-12","documentName":"ADV PART 2A: FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T17:00:47.269311+00:00","documents":[{"name":"ADV PART 2A: FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1008598","versionId":1008598,"submittedOn":"2026-02-12"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":197494206}],"custodyNote":"Attentive Investments does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Athena Stone","title":"President & Chief Compliance Officer","crd":"5267346"}],"ownership":[{"label":"Athena Stone","detail":"President & chief compliance officer in the 75% or more ownership band and a control person, since June 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"5345 N El Dorado St., Suite 5","city":"Stockton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"209-636-4931","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":76},{"label":"U.S. government/agency bonds","percent":9},{"label":"U.S. state and local bonds","percent":2},{"label":"Investment grade corporate bonds","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":5},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"12 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/315478/PDF/315478.pdf","brochureDate":"12 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1008598","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 Attentive Investments have?","answer":"Attentive Investments has 430 clients and manages $197 million for them, as of February 2026. They include 385 individual clients and 45 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 12 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Attentive Investments offer?","answer":"Attentive Investments provides financial planning, portfolio management for individuals and small businesses, 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":"How much does Attentive Investments charge?","answer":"Attentive Investments charges 0.50%–1.00% a year for its Individual Portfolio Management Fees. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"ADV PART 2A: FIRM BROCHURE, filed 12 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Attentive Investments use?","answer":"Attentive Investments’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $197M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Attentive Investments have?","answer":"Attentive Investments has 1 investment adviser representative registered with state securities authorities, out of 5 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 Attentive Investments invest in?","answer":"At the end of its last fiscal year, Attentive Investments’ separately managed accounts held 76% exchange-traded equities, 9% U.S. government and agency bonds, 5% investment grade corporate bonds, 5% registered funds (mutual funds, ETFs, BDCs), 3% cash and equivalents and 2% state and local 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 Attentive Investments?","answer":"Attentive Investments’ direct owner is Athena Stone (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 12 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Attentive Investments get paid?","answer":"Attentive Investments is paid through a percentage of assets under management and hourly charges. 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 Attentive Investments?","answer":"Attentive Investments’ main office is at 5345 N El Dorado St., Suite 5, Stockton, CA 95207. Its phone number is 209-636-4931. Its website is attentiveinv.com.","source":"Form ADV Part 1A, Item 1.F, filed 12 February 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."}