{"url":"https://nivawealth.com/firms/denali-wealth-management-153323","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/153323","regulatoryAum":226122000,"crd":"153323","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5912987","suffix":null,"lastName":"ROCHON","firstName":"JEFFREY","middleName":"ALLEN"},{"crd":"4570934","suffix":null,"lastName":"VALIMONT","firstName":"CARL","middleName":"ALLEN"},{"crd":"7691308","suffix":null,"lastName":"Valimont","firstName":"Lane","middleName":"Dillon"},{"crd":"7067826","suffix":null,"lastName":"Wierichs","firstName":"Mark","middleName":"Allyn"}],"total":4,"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":"2021-03-15","regulatoryAum":93427000,"clients":141,"employees":5,"offices":1},{"filedOn":"2022-03-07","regulatoryAum":229044000,"clients":222,"employees":7,"offices":2},{"filedOn":"2023-02-09","regulatoryAum":210184000,"clients":231,"employees":8,"offices":2},{"filedOn":"2024-07-05","regulatoryAum":256543000,"clients":272,"employees":6,"offices":1},{"filedOn":"2025-02-19","regulatoryAum":182964000,"clients":218,"employees":6,"offices":1},{"filedOn":"2026-03-18","regulatoryAum":226122000,"clients":243,"employees":6,"offices":1}],"secFileNumber":"801-71260","legalName":"Denali Wealth Management, Inc.","displayName":"Denali Wealth Management","slug":"denali-wealth-management-153323","website":"https://denaliwm.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2010","organization":"Wisconsin corporation","fiscalYearEnd":"December","headquarters":{"street":"1325 W Towne Square Road","city":"Mequon","state":"WI","stateName":"Wisconsin","country":"United States","postalCode":"53092-5047"},"tradeNames":[],"registration":{"secApproved":"29 March 2010","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":877593.220338983,"staff":{"employees":6,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"regulatory":226122000,"discretionary":226122000,"discretionaryAccounts":417,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":20},"clientTypes":[{"label":"Individuals (other than HNW)","clients":141,"regulatoryAum":34530000},{"label":"High-net-worth individuals","clients":95,"regulatoryAum":172582000},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":13569000},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":1394000},{"label":"Corporations and other businesses","clients":7,"regulatoryAum":4047000}],"feePrograms":[{"role":"other","program":"Counseling and Financial Planning","summary":"Fixed fee per project, or hourly at $150 to $500 depending on complexity; the hourly rate may be negotiated.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021302","versionId":1021302,"submittedOn":"2026-03-18","documentName":"PART 2"},{"role":"other","program":"Investment Consulting","summary":"Hourly at $100 to $200, a fixed fee, or 0.2% to 1.0% of assets for asset-based consulting; all fees are negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021302","versionId":1021302,"submittedOn":"2026-03-18","documentName":"PART 2"},{"role":"other","program":"Retirement Plan Advisory Services","summary":"Annual fee of 0.10% to 1.0% of plan assets, negotiable, set at contract signing.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021302","versionId":1021302,"submittedOn":"2026-03-18","documentName":"PART 2"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:06:23.920211+00:00","documents":[{"name":"PART 2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021302","versionId":1021302,"submittedOn":"2026-03-18"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":224860000}],"custodyNote":"Denali Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Carl Valimont","title":"President, Chief Compliance Officer","crd":"4570934"}],"ownership":[{"label":"Carl Valimont","detail":"President, chief compliance officer in the 75% or more ownership band and a control person, since April 2010."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Wisconsin","offices":1,"addresses":[{"street":"1325 W Towne Square Road","city":"Mequon","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"414-978-0020","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":83},{"label":"Cash and cash equivalents","percent":15}],"privateFunds":0},"sources":{"adv1FilingDate":"18 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/153323/PDF/153323.pdf","brochureDate":"18 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021302","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 Denali Wealth Management have?","answer":"Denali Wealth Management has 243 clients and manages $226 million for them, as of March 2026. They include 141 individual clients, 95 high-net-worth individuals, and 7 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Denali Wealth Management offer?","answer":"Denali Wealth Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, education planning, estate planning, and insurance.","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":"Which custodians does Denali Wealth Management use?","answer":"Denali Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $225M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Denali Wealth Management have?","answer":"Denali Wealth Management has 4 investment adviser representatives registered with state securities authorities, out of 6 employees, and 4 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 Denali Wealth Management invest in?","answer":"At the end of its last fiscal year, Denali Wealth Management’s separately managed accounts held 83% registered funds (mutual funds, ETFs, BDCs), 15% cash and equivalents and 2% exchange-traded equities.","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 Denali Wealth Management?","answer":"Denali Wealth Management’s direct owner is Carl Valimont (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 18 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Denali Wealth Management get paid?","answer":"Denali Wealth Management 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"}},{"question":"How do I contact Denali Wealth Management?","answer":"Denali Wealth Management’s main office is at 1325 W Towne Square Road, Mequon, WI 53092-5047. Its phone number is 414-978-0020. Its website is denaliwm.com.","source":"Form ADV Part 1A, Item 1.F, filed 18 March 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."}