{"url":"https://nivawealth.com/firms/chartist-105072","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/105072","regulatoryAum":169706684,"crd":"105072","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2449031","suffix":null,"lastName":"MAIS","firstName":"CHRISTOPHER","middleName":"KIER"},{"crd":"710902","suffix":null,"lastName":"MAIS","firstName":"STEVEN","middleName":"GERARD"}],"total":2,"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":"2021-01-13","regulatoryAum":214310000,"clients":631,"employees":4,"offices":1},{"filedOn":"2022-06-13","regulatoryAum":235374367,"clients":587,"employees":4,"offices":1},{"filedOn":"2023-01-12","regulatoryAum":178178619,"clients":551,"employees":4,"offices":1},{"filedOn":"2024-01-10","regulatoryAum":185402943,"clients":471,"employees":3,"offices":1},{"filedOn":"2025-01-17","regulatoryAum":179132160,"clients":479,"employees":3,"offices":1},{"filedOn":"2026-05-15","regulatoryAum":169706684,"clients":426,"employees":2,"offices":1}],"secFileNumber":"801-11714","legalName":"Chartist Inc","displayName":"Chartist","slug":"chartist-105072","website":"https://thechartist.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California corporation","fiscalYearEnd":"October","headquarters":{"street":"6621 E. Pacific Coast Hwy. #240","city":"Long Beach","state":"CA","stateName":"California","country":"United States","postalCode":"90803"},"tradeNames":[],"registration":{"secApproved":"1 July 1976","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":398372.4976525822,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":169706684,"discretionary":169706684,"discretionaryAccounts":426,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":426},"clientTypes":[{"label":"Individuals (other than HNW)","clients":426,"regulatoryAum":169706684}],"feePrograms":[{"role":"main","program":"All Portfolios: Management fees","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1000010","versionId":1000010,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-01-05","documentName":"ADVPART2 2025","fee_rate_low":0.65,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T11:46:17.005904+00:00","documents":[{"name":"ADVPART2 2025","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1000010","versionId":1000010,"submittedOn":"2026-01-05"}]},"custodians":[],"custodyNote":"Chartist does not have custody of client assets.","leadership":[{"name":"Steven Mais","title":"President","crd":"710902"},{"name":"Christopher Mais","title":"Chief Compliance Officer","crd":"2449031"}],"ownership":[{"label":"Steven Mais","detail":"President in the 50% to 75% ownership band and a control person, since May 2026."},{"label":"Christopher Mais","detail":"Chief compliance officer in the 50% to 75% ownership band and a control person, since May 2026."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"6621 E. Pacific Coast Hwy. #240","city":"Long Beach","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"562-596-2385","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Subscription fees"],"activities":["Portfolio management for individuals and/or small businesses","Publication of periodicals or newsletters"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":96},{"label":"Non-exchange-traded equity securities","percent":2},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"15 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/105072/PDF/105072.pdf","brochureDate":"5 January 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1000010","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 Chartist have?","answer":"Chartist has 426 clients and manages $170 million for them, as of May 2026. They include 426 individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 15 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Chartist offer?","answer":"Chartist provides portfolio management for individuals and small businesses and publishing newsletters.","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 Chartist charge?","answer":"Chartist charges 0.65%–1.25% a year for its All Portfolios: Management fees. The fee is billed in advance and is negotiable.","source":"ADVPART2 2025, filed 5 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Chartist have?","answer":"Chartist has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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 Chartist invest in?","answer":"At the end of its last fiscal year, Chartist’s separately managed accounts held 96% exchange-traded equities, 2% non-exchange-traded equities and 2% cash and equivalents.","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 Chartist?","answer":"Chartist’s direct owners are Steven Mais (50% to 75%) and Christopher Mais (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 15 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Chartist get paid?","answer":"Chartist is paid through a percentage of assets under management and subscription 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"}},{"question":"Is Chartist registered with the SEC?","answer":"Yes, Chartist has been registered with the SEC as an investment adviser since 1 July 1976. Its CRD number is 105072 and its SEC file number is 801-11714.","source":"Form ADV Part 1A, Item 1, filed 15 May 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Chartist?","answer":"Chartist’s main office is at 6621 E. Pacific Coast Hwy. #240, Long Beach, CA 90803. Its phone number is 562-596-2385. Its website is thechartist.com.","source":"Form ADV Part 1A, Item 1.F, filed 15 May 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."}