{"url":"https://nivawealth.com/firms/ean-equity-financial-services-117064","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/117064","regulatoryAum":144680225,"crd":"117064","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1220324","suffix":null,"lastName":"NORBERG","firstName":"ERIC","middleName":"ANTHONY"}],"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":"2021-03-28","regulatoryAum":124335544,"clients":60,"employees":1,"offices":1},{"filedOn":"2022-03-28","regulatoryAum":144026488,"clients":64,"employees":1,"offices":1},{"filedOn":"2023-03-28","regulatoryAum":119725976,"clients":63,"employees":1,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":126891329,"clients":55,"employees":1,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":144527546,"clients":64,"employees":1,"offices":1},{"filedOn":"2026-03-25","regulatoryAum":144680225,"clients":64,"employees":1,"offices":1}],"secFileNumber":"801-118479","legalName":"Ean Equity Financial Services LLC","displayName":"Ean Equity Financial Services","slug":"ean-equity-financial-services-117064","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Maryland limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"21 April 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2260628.515625,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":144680225,"discretionary":77247780,"discretionaryAccounts":85,"nonDiscretionary":67432445,"nonDiscretionaryAccounts":69,"wrapProgram":null,"nonUsClientsPct":2,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":26,"regulatoryAum":12496934},{"label":"High-net-worth individuals","clients":38,"regulatoryAum":132183291}],"feePrograms":[{"role":"main","program":"Investment Advisory Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025680","versionId":1025680,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-25","documentName":"2026 EANEFS FORM ADV PART 2A 2B UPDATED","fee_rate_low":0.75,"fee_rate_high":0.75,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Consulting","summary":"Limited-scope consulting is billed at up to $200 an hour, or at a negotiated rate or fixed fee.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025680","versionId":1025680,"submittedOn":"2026-03-25","documentName":"2026 EANEFS FORM ADV PART 2A 2B UPDATED"},{"role":"other","program":"Financial plan","summary":"Flat fee of $4,000 for a financial plan, partly payable at the start and the rest on the agreed schedule.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025680","versionId":1025680,"submittedOn":"2026-03-25","documentName":"2026 EANEFS FORM ADV PART 2A 2B UPDATED"},{"role":"other","program":"Tax preparation","summary":"Tax preparation is billed at $200 an hour, or at a negotiated or fixed fee; eligible federal and state returns are filed electronically at no extra fee.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025680","versionId":1025680,"submittedOn":"2026-03-25","documentName":"2026 EANEFS FORM ADV PART 2A 2B UPDATED"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:24:26.929023+00:00","documents":[{"name":"2026 EANEFS FORM ADV PART 2A 2B UPDATED","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025680","versionId":1025680,"submittedOn":"2026-03-25"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":112510500}],"custodyNote":"Ean Equity Financial Services does not have custody of client assets.","leadership":[{"name":"Eric Norberg","title":"Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Compliance Officer, Chief Legal Officer","crd":"1220324"}],"ownership":[{"label":"Eric Norberg","detail":"Chief executive officer, chief financial officer, chief operations officer, chief compliance officer, chief legal officer in the 75% or more ownership band and a control person, since January 2000."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"410-340-4973","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":41},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":5},{"label":"Investment grade corporate bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":46},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"25 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/117064/PDF/117064.pdf","brochureDate":"25 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025680","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 Ean Equity Financial Services have?","answer":"Ean Equity Financial Services has 64 clients and manages $145 million for them, as of March 2026. They include 38 high-net-worth individuals and 26 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ean Equity Financial Services offer?","answer":"Ean Equity Financial Services provides financial planning and portfolio management for individuals and small businesses.","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 Ean Equity Financial Services charge?","answer":"Ean Equity Financial Services charges 0.75% a year for its Investment Advisory Services. The fee is billed in advance and is negotiable.","source":"2026 EANEFS FORM ADV PART 2A 2B UPDATED, filed 25 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Ean Equity Financial Services use?","answer":"Ean Equity Financial Services’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $113M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Ean Equity Financial Services have?","answer":"Ean Equity Financial Services has 1 investment adviser representative registered with state securities authorities, out of 1 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 Ean Equity Financial Services invest in?","answer":"At the end of its last fiscal year, Ean Equity Financial Services’ separately managed accounts held 46% registered funds (mutual funds, ETFs, BDCs), 41% exchange-traded equities, 5% state and local bonds, 4% investment grade corporate bonds, 3% cash and equivalents and 1% 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":"Who owns Ean Equity Financial Services?","answer":"Ean Equity Financial Services’ direct owner is Eric Norberg (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ean Equity Financial Services get paid?","answer":"Ean Equity Financial Services is paid through a percentage of assets under management, hourly charges 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":"Is Ean Equity Financial Services registered with the SEC?","answer":"Yes, Ean Equity Financial Services has been registered with the SEC as an investment adviser since 21 April 2020. Its CRD number is 117064 and its SEC file number is 801-118479.","source":"Form ADV Part 1A, Item 1, filed 25 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Ean Equity Financial Services?","answer":"Its phone number is 410-340-4973.","source":"Form ADV Part 1A, Item 1.F, filed 25 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."}