{"url":"https://nivawealth.com/firms/burns-j-w-and-co-107835","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/107835","regulatoryAum":1026809872,"crd":"107835","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4347323","suffix":"JR.","lastName":"BUNITSKY","firstName":"PETER","middleName":"N"},{"crd":"2560905","suffix":null,"lastName":"BURNS","firstName":"JAMES","middleName":"C"},{"crd":"7405007","suffix":null,"lastName":"Derrenbacker","firstName":"Andrew","middleName":"James"},{"crd":"7405025","suffix":null,"lastName":"Grassi","firstName":"Edward","middleName":"A."},{"crd":"7405051","suffix":null,"lastName":"Malley","firstName":"Thaddeus","middleName":null},{"crd":"6246054","suffix":null,"lastName":"ZIMMERMAN","firstName":"JOHN","middleName":"CHARLES"}],"total":6,"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":"2021-04-01","regulatoryAum":734110798,"clients":1182,"employees":10,"offices":1},{"filedOn":"2022-02-02","regulatoryAum":829751878,"clients":1221,"employees":9,"offices":1},{"filedOn":"2023-02-27","regulatoryAum":701205562,"clients":1244,"employees":9,"offices":2},{"filedOn":"2024-03-07","regulatoryAum":801883454,"clients":585,"employees":8,"offices":3},{"filedOn":"2025-02-10","regulatoryAum":903952794,"clients":611,"employees":8,"offices":3},{"filedOn":"2026-04-20","regulatoryAum":1026809872,"clients":631,"employees":8,"offices":3}],"secFileNumber":"801-13068","legalName":"Burns J W & Co Inc","displayName":"Burns J W & Co","slug":"burns-j-w-and-co-107835","website":"https://jwburns.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1974","organization":"New York corporation","fiscalYearEnd":"December","headquarters":{"street":"5789 Widewaters Parkway","city":"Dewitt","state":"NY","stateName":"New York","country":"United States","postalCode":"13214"},"tradeNames":[],"registration":{"secApproved":"9 May 1977","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1537569.1590909092,"staff":{"employees":8,"advisory":5,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":1026809872,"discretionary":991851346,"discretionaryAccounts":1316,"nonDiscretionary":34958526,"nonDiscretionaryAccounts":7,"wrapProgram":376722,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":305,"regulatoryAum":94893318},{"label":"High-net-worth individuals","clients":267,"regulatoryAum":784596241},{"label":"Pension and profit-sharing plans","clients":13,"regulatoryAum":29437001},{"label":"Charitable organizations","clients":30,"regulatoryAum":95917283},{"label":"Corporations and other businesses","clients":16,"regulatoryAum":21966029}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011037","versionId":1011037,"ratePeriod":"not_stated","fee_billing":"advance","submittedOn":"2026-02-23","documentName":"PART 2A","fee_rate_low":null,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":250000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T06:00:53.256797+00:00","documents":[{"name":"PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011037","versionId":1011037,"submittedOn":"2026-02-23"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":822806107}],"custodyNote":"Burns J W & Co does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"James Burns","title":"Owner/President/CEO/Director/Chief Compliance Officer","crd":"2560905"},{"name":"Peter Bunitsky","title":"Treasurer/Director","crd":"4347323"},{"name":"Andrew Derrenbacker","title":"Corporate Secretary","crd":"7405007"}],"ownership":[{"label":"James Burns","detail":"Owner/president/ceo/director/chief compliance officer in the 75% or more ownership band and a control person, since December 2012."},{"label":"Andrew Derrenbacker","detail":"Corporate secretary in the 10% to 25% ownership band and a control person, since October 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"5789 Widewaters Parkway","city":"Dewitt","headquarters":true}]}],"brochureServices":["estate planning","insurance","retirement plan services","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"315-449-1341","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":66},{"label":"U.S. government/agency bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":27},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"20 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/107835/PDF/107835.pdf","brochureDate":"23 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011037","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 Burns J W & Co have?","answer":"Burns J W & Co has 631 clients and manages $1.03 billion for them, as of April 2026. They include 305 individual clients, 267 high-net-worth individuals and 30 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Burns J W & Co offer?","answer":"Burns J W & Co provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, estate planning, insurance, retirement plan services, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Burns J W & Co charge?","answer":"Burns J W & Co charges up to 1.00% for its Portfolio Management Services. The brochure does not state whether the rate is annual. The fee is billed in advance, is negotiable and requires an account of at least $250,000.","source":"PART 2A, filed 23 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Burns J W & Co use?","answer":"Burns J W & Co’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $823M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Burns J W & Co have?","answer":"Burns J W & Co has 5 investment adviser representatives registered with state securities authorities, out of 8 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 Burns J W & Co invest in?","answer":"At the end of its last fiscal year, Burns J W & Co’s separately managed accounts held 66% exchange-traded equities, 27% registered funds (mutual funds, ETFs, BDCs), 5% cash and equivalents and 2% U.S. government and agency 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":"Does Burns J W & Co have a minimum investment?","answer":"Yes, Burns J W & Co’s minimum account size for its Portfolio Management Services is $250K.","source":"PART 2A, filed 23 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Burns J W & Co?","answer":"Burns J W & Co’s direct owners are James Burns (75% or more) and Andrew Derrenbacker (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 20 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Burns J W & Co get paid?","answer":"Burns J W & Co 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 Burns J W & Co?","answer":"Burns J W & Co’s main office is at 5789 Widewaters Parkway, Dewitt, NY 13214. Its phone number is 315-449-1341. Its website is jwburns.com.","source":"Form ADV Part 1A, Item 1.F, filed 20 April 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."}