{"url":"https://nivawealth.com/firms/claris-financial-168503","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/168503","regulatoryAum":330221020,"crd":"168503","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2844197","suffix":null,"lastName":"PAXTON","firstName":"JOHN","middleName":"FAULKNER"},{"crd":"4226268","suffix":null,"lastName":"TUCKER","firstName":"DEBORAH","middleName":"EDWARDS"}],"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":"2021-04-09","regulatoryAum":196380854,"clients":447,"employees":8,"offices":2},{"filedOn":"2022-03-31","regulatoryAum":237317513,"clients":492,"employees":8,"offices":2},{"filedOn":"2023-03-31","regulatoryAum":206637741,"clients":536,"employees":8,"offices":2},{"filedOn":"2024-03-29","regulatoryAum":231893337,"clients":578,"employees":8,"offices":2},{"filedOn":"2025-03-27","regulatoryAum":285968222,"clients":551,"employees":8,"offices":2},{"filedOn":"2026-03-30","regulatoryAum":330221020,"clients":599,"employees":8,"offices":2}],"secFileNumber":"801-115295","legalName":"Claris Financial, LLC","displayName":"Claris Financial","slug":"claris-financial-168503","website":"https://clarisfinancial.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Virginia limited liability company","fiscalYearEnd":"December","headquarters":{"street":"4510 Cox RD., Suite 302","city":"Glen Allen","state":"VA","stateName":"Virginia","country":"United States","postalCode":"23060"},"tradeNames":[],"registration":{"secApproved":"16 May 2019","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":542742.8180300501,"staff":{"employees":8,"advisory":5,"brokerDealerReps":0,"insuranceAgents":5,"promoters":0},"aum":{"regulatory":330221020,"discretionary":305606970,"discretionaryAccounts":986,"nonDiscretionary":24614050,"nonDiscretionaryAccounts":52,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":438,"regulatoryAum":76828299},{"label":"High-net-worth individuals","clients":161,"regulatoryAum":248274649},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":5118072}],"feePrograms":[{"role":"main","program":"Portfolio Management Service","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032493","versionId":1032493,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-30","documentName":"CLARIS ADV PART 2A - 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They include 438 individual clients and 161 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Claris Financial offer?","answer":"Claris Financial provides portfolio management for individuals and small businesses and educational seminars.","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 Claris Financial charge?","answer":"Claris Financial charges 1.50%–2.50% a year for its Portfolio Management Service. The fee is billed in advance and is negotiable.","source":"CLARIS ADV PART 2A - 03.30.2026, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Claris Financial use?","answer":"Claris Financial’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $330M. 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 Claris Financial have?","answer":"Claris Financial has 5 investment adviser representatives registered with state securities authorities, out of 8 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 5 employees 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 Claris Financial invest in?","answer":"At the end of its last fiscal year, Claris Financial’s separately managed accounts held 61% registered funds (mutual funds, ETFs, BDCs), 28% exchange-traded equities, 5% cash and equivalents, 3% U.S. government and agency bonds, 2% state and local bonds and 1% investment grade corporate 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 Claris Financial?","answer":"Claris Financial’s direct owners are Brian Hall (10% to 25%), Patrick Dennis (10% to 25%) and John Paxton (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Claris Financial get paid?","answer":"Claris Financial 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":"Is Claris Financial registered with the SEC?","answer":"Yes, Claris Financial has been registered with the SEC as an investment adviser since 16 May 2019. Its CRD number is 168503 and its SEC file number is 801-115295.","source":"Form ADV Part 1A, Item 1, filed 30 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Claris Financial?","answer":"Claris Financial’s main office is at 4510 Cox RD., Suite 302, Glen Allen, VA 23060. Its phone number is 804-935-3000. 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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."}