{"url":"https://nivawealth.com/firms/ec-ventures-v-340444","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/340444","regulatoryAum":292181992,"crd":"340444","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4994860","suffix":null,"lastName":"Bishop","firstName":"Paul","middleName":"D"},{"crd":"7251221","suffix":null,"lastName":"Haman","firstName":"Emma","middleName":"Lee"},{"crd":"7928464","suffix":null,"lastName":"Quine","firstName":"Kristine","middleName":null},{"crd":"7591602","suffix":null,"lastName":"Ruth","firstName":"Nichole","middleName":null},{"crd":"6186640","suffix":null,"lastName":"SEEGERS","firstName":"TARA","middleName":"NICOLE"},{"crd":"3115536","suffix":null,"lastName":"WALKER","firstName":"BETH","middleName":"VIVIAN"}],"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"},"secFileNumber":"801-135545","legalName":"Ec Ventures V LLC","displayName":"Ec Ventures V","slug":"ec-ventures-v-340444","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/exceptionalwfo/","founded":null,"organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"422 East Vermijo Avenue, Suite 200a","city":"Colorado Springs","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80903"},"tradeNames":[],"registration":{"secApproved":"12 March 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":959683.914893617,"staff":{"employees":8,"advisory":5,"brokerDealerReps":0,"insuranceAgents":5,"promoters":0},"aum":{"regulatory":292181992,"discretionary":292181992,"discretionaryAccounts":527,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":147,"regulatoryAum":54271107},{"label":"High-net-worth individuals","clients":41,"regulatoryAum":126149469},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":1259510},{"label":"Corporations and other businesses","clients":18,"regulatoryAum":110501906}],"feePrograms":[{"role":"other","program":"Blueprint financial planning and consulting","summary":"Blueprint financial planning and consulting fees are generally fixed flat-dollar fees of $10,000 to $500,000 annually, as agreed between the client and advisor.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1051302","versionId":1051302,"submittedOn":"2026-07-10","documentName":"FORM ADV 2A JULY 2026"},{"role":"other","program":"Retirement plan consulting","summary":"Retirement plan consulting is an annual fee on a percentage of assets under advisement, a flat fee, or an hourly rate not to exceed $500, negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1051302","versionId":1051302,"submittedOn":"2026-07-10","documentName":"FORM ADV 2A JULY 2026"},{"role":"other","program":"Wealth management consulting","summary":"Wealth management consulting is billed as an annual fee or a flat or fixed fee agreed between the client and advisor.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1051302","versionId":1051302,"submittedOn":"2026-07-10","documentName":"FORM ADV 2A JULY 2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T11:34:33.86205+00:00","documents":[{"name":"FORM ADV 2A JULY 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1051302","versionId":1051302,"submittedOn":"2026-07-10"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":114266805},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":153308716}],"custodyNote":"Ec Ventures V has custody of $43.3M for 27 clients.","otherCustodians":[],"leadership":[{"name":"Tara Seegers","title":"Chief Compliance Officer, CEO","crd":"6186640"}],"ownership":[{"label":"TCS Trust","detail":"Owner in the 75% or more ownership band and a control person, since February 2025."},{"label":"Tara Seegers","detail":"Chief compliance officer, ceo in the 75% or more ownership band and a control person, since February 2026. Also a trustee of TCS Trust in the 75% or more band and a control person, since January 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"422 East Vermijo Avenue, Suite 200a","city":"Colorado Springs","headquarters":true}]},{"state":"Texas","offices":1,"addresses":[{"street":"200 N Loraine St, Suite 1304","city":"Midland"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"719-715-4179","stateRegisteredReps":5,"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":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":27},{"label":"Non-exchange-traded equity securities","percent":4},{"label":"U.S. state and local bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":47},{"label":"Cash and cash equivalents","percent":6},{"label":"Other","percent":14,"detail":"Fixed Income"}],"privateFunds":0},"sources":{"adv1FilingDate":"10 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/340444/PDF/340444.pdf","brochureDate":"10 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1051302","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 Ec Ventures V have?","answer":"Ec Ventures V has 206 clients and manages $292 million for them, as of July 2026. They include 147 individual clients, 41 high-net-worth individuals, and 18 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ec Ventures V offer?","answer":"Ec Ventures V provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Ec Ventures V use?","answer":"Ec Ventures V’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $153M and National Financial Services LLC (Boston, MA), with $114M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Ec Ventures V have?","answer":"Ec Ventures V 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 Ec Ventures V invest in?","answer":"At the end of its last fiscal year, Ec Ventures V’s separately managed accounts held 47% registered funds (mutual funds, ETFs, BDCs), 27% exchange-traded equities, 14% other, 6% cash and equivalents, 4% non-exchange-traded equities and 2% state and local bonds. The 14% other category is described as: Fixed Income.","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 Ec Ventures V?","answer":"Ec Ventures V’s direct owners are TCS Trust (75% or more) and Tara Seegers (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ec Ventures V get paid?","answer":"Ec Ventures V 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 Ec Ventures V?","answer":"Ec Ventures V’s main office is at 422 East Vermijo Avenue, Suite 200a, Colorado Springs, CO 80903. Its phone number is 719-715-4179.","source":"Form ADV Part 1A, Item 1.F, filed 10 July 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."}