{"url":"https://nivawealth.com/firms/egi-financial-120607","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/120607","regulatoryAum":348658870,"crd":"120607","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"849285","suffix":null,"lastName":"BERRY","firstName":"ROBERT","middleName":"WILLIAM"},{"crd":"1571445","suffix":null,"lastName":"GIBBS","firstName":"SARA","middleName":null},{"crd":"1092775","suffix":null,"lastName":"INGRAHAM","firstName":"EDGAR","middleName":"GREY"},{"crd":"6186806","suffix":null,"lastName":"KRUMMEL","firstName":"TYLER","middleName":"ALAN"},{"crd":"4269647","suffix":null,"lastName":"PRESCOTT","firstName":"MICHAEL","middleName":"DAVID"},{"crd":"1771786","suffix":null,"lastName":"REEVES","firstName":"KENNETH","middleName":"ROBERT"},{"crd":"7755480","suffix":null,"lastName":"Rzeszut","firstName":"Brandon","middleName":"Bae"},{"crd":"814429","suffix":null,"lastName":"SPENCER","firstName":"DIANE","middleName":"LYNN"},{"crd":"5584604","suffix":null,"lastName":"VINCELETTE","firstName":"BRIAN","middleName":"D"},{"crd":"3166179","suffix":null,"lastName":"WEINREICH","firstName":"BRIAN","middleName":"KEITH"}],"total":10,"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":"2021-02-17","regulatoryAum":174785474,"clients":262,"employees":8,"offices":2},{"filedOn":"2022-03-15","regulatoryAum":221165213,"clients":309,"employees":8,"offices":2},{"filedOn":"2023-02-24","regulatoryAum":205475484,"clients":297,"employees":8,"offices":2},{"filedOn":"2024-02-29","regulatoryAum":288459978,"clients":293,"employees":8,"offices":2},{"filedOn":"2025-03-26","regulatoryAum":299271253,"clients":291,"employees":8,"offices":2},{"filedOn":"2026-02-13","regulatoryAum":348658870,"clients":292,"employees":8,"offices":2}],"secFileNumber":"801-112725","legalName":"Egi Financial, Inc.","displayName":"EGI Financial","slug":"egi-financial-120607","website":"https://egifinancial.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1992","organization":"Ohio corporation","fiscalYearEnd":"December","headquarters":{"street":"50 South Main Street, Suite 1210","city":"Akron","state":"OH","stateName":"Ohio","country":"United States","postalCode":"44308-1831"},"tradeNames":["American Heritage Financial","Sara Gibbs Wealth Management","Team 3gen"],"registration":{"secApproved":"29 March 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1194037.2260273972,"staff":{"employees":8,"advisory":8,"brokerDealerReps":8,"insuranceAgents":7,"promoters":0},"aum":{"regulatory":348658870,"discretionary":333714404,"discretionaryAccounts":285,"nonDiscretionary":14944466,"nonDiscretionaryAccounts":9,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":224,"regulatoryAum":156283378},{"label":"High-net-worth individuals","clients":68,"regulatoryAum":192375492}],"feePrograms":[{"role":"other","program":"Financial Planning and Related Services","summary":"Financial planning, outside portfolio review, insurance review and budgeting may be billed hourly, not to exceed $250 per hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1008957","versionId":1008957,"submittedOn":"2026-02-13","documentName":"EGI FINANCIAL"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T08:45:42.779123+00:00","documents":[{"name":"EGI FINANCIAL","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1008957","versionId":1008957,"submittedOn":"2026-02-13"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=961333","versionId":961333,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=815468","versionId":815468,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":15953000},{"name":"Wells Fargo Clearing Services, LLC","shortName":"Wells Fargo Clearing Services","location":"St. Louis, MO","smaAssets":112494177}],"custodyNote":"EGI Financial does not have custody of client assets.","leadership":[{"name":"Jeffrey Thomas","title":"President","crd":"2095554"},{"name":"Jeffrey Thomas","title":"Chief Compliance Officer","crd":"2095554"}],"ownership":[{"label":"Jeffrey Thomas","detail":"Chief compliance officer in the 75% or more ownership band and a control person, since June 2016. Also president in the 75% or more ownership band and a control person, since June 2016."}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Ohio","offices":2,"addresses":[{"street":"50 South Main Street, Suite 1210","city":"Akron","headquarters":true},{"street":"2850 West Market Street","city":"Akron"}]}],"brochureServices":["insurance","retirement plan services"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"330-374-1932","stateRegisteredReps":8,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":85},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":12},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"13 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/120607/PDF/120607.pdf","brochureDate":"13 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1008957","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 EGI Financial have?","answer":"EGI Financial has 292 clients and manages $349 million for them, as of February 2026. They include 224 individual clients and 68 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 13 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does EGI Financial offer?","answer":"EGI Financial provides financial planning, portfolio management for individuals and small businesses, insurance, and retirement plan services.","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 EGI Financial use?","answer":"EGI Financial’s separately managed account assets are held at Wells Fargo Clearing Services, LLC (St. Louis, MO), with $112M and Charles Schwab & Co., Inc. (Westlake, TX), with $16M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does EGI Financial have?","answer":"EGI Financial has 8 investment adviser representatives registered with state securities authorities, out of 8 employees, and 8 perform investment advisory functions. 8 employees are registered representatives of a broker-dealer and 7 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 EGI Financial invest in?","answer":"At the end of its last fiscal year, EGI Financial’s separately managed accounts held 85% exchange-traded equities, 12% registered funds (mutual funds, ETFs, BDCs), 2% 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 EGI Financial?","answer":"EGI Financial’s direct owner is Jeffrey Thomas (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 13 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does EGI Financial get paid?","answer":"EGI Financial is paid through a percentage of assets under management and hourly charges. 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 EGI Financial registered with the SEC?","answer":"Yes, EGI Financial has been registered with the SEC as an investment adviser since 29 March 2018. Its CRD number is 120607 and its SEC file number is 801-112725.","source":"Form ADV Part 1A, Item 1, filed 13 February 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact EGI Financial?","answer":"EGI Financial’s main office is at 50 South Main Street, Suite 1210, Akron, OH 44308-1831. Its phone number is 330-374-1932. Its website is egifinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 13 February 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."}