{"url":"https://nivawealth.com/firms/egsi-investment-management-171488","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/171488","regulatoryAum":144660922,"crd":"171488","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7705830","suffix":null,"lastName":"Johnston","firstName":"Ryan","middleName":"T."},{"crd":"7990033","suffix":null,"lastName":"Rye","firstName":"Alexander","middleName":"David"},{"crd":"4652777","suffix":null,"lastName":"SIDDELL","firstName":"EDWARD","middleName":"GERARD"}],"total":3,"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":"801-136784","legalName":"Egsi Investment Management, Inc.","displayName":"Egsi Investment Management","slug":"egsi-investment-management-171488","website":"https://egsifinancial.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/egsi-financial/","founded":null,"organization":"Ohio corporation","fiscalYearEnd":"December","headquarters":{"street":"5100 Parkcenter Ave, Suite 120","city":"Dublin","state":"OH","stateName":"Ohio","country":"United States","postalCode":"43017"},"tradeNames":[],"registration":{"secApproved":"17 July 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":412675.64227642276,"staff":{"employees":4,"advisory":4,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":144660922,"discretionary":102087373,"discretionaryAccounts":769,"nonDiscretionary":42573549,"nonDiscretionaryAccounts":29,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":230,"regulatoryAum":66861766},{"label":"High-net-worth individuals","clients":16,"regulatoryAum":34656442},{"label":"Pension and profit-sharing plans","clients":29,"regulatoryAum":42573549},{"label":"Charitable organizations","clients":2,"regulatoryAum":377280},{"label":"State or municipal government entities","clients":1,"regulatoryAum":191885}],"feePrograms":[{"role":"other","program":"Financial planning and consulting","summary":"Financial planning and consulting is a negotiable fixed fee, stated to range from $500 to $2,500.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053321","versionId":1053321,"submittedOn":"2026-07-30","documentName":"EGSI INVESTMENT MANAGMENT, INC. ADV PART 2"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:58:13.606193+00:00","documents":[{"name":"EGSI INVESTMENT MANAGMENT, INC. ADV PART 2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053321","versionId":1053321,"submittedOn":"2026-07-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":102087373}],"custodyNote":"Egsi Investment Management does not have custody of client assets.","leadership":[{"name":"LeAnne Siddell","title":"Chief Compliance Officer and Operational Manager","crd":"8220123"},{"name":"Edward Siddell","title":"Owner","crd":"4652777"}],"ownership":[{"label":"Edward Siddell","detail":"Owner in the 75% or more ownership band and a control person, since April 2014."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Ohio","offices":1,"addresses":[{"street":"5100 Parkcenter Ave, Suite 120","city":"Dublin","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"614-526-4118","stateRegisteredReps":3,"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","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":93},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":1},{"label":"Investment grade corporate bonds","percent":3},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"30 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/171488/PDF/171488.pdf","brochureDate":"30 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053321","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 Egsi Investment Management have?","answer":"Egsi Investment Management has 278 clients and manages $145 million for them, as of July 2026. They include 230 individual clients, 29 pension and profit-sharing plans, and 16 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Egsi Investment Management offer?","answer":"Egsi Investment Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","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 Egsi Investment Management use?","answer":"Egsi Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $102M. 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 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Egsi Investment Management have?","answer":"Egsi Investment Management has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Egsi Investment Management invest in?","answer":"At the end of its last fiscal year, Egsi Investment Management’s separately managed accounts held 93% exchange-traded equities, 4% cash and equivalents, 3% investment grade corporate bonds, 1% non-exchange-traded equities, 1% U.S. government and agency bonds and 1% pooled vehicles (private funds and similar).","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 Egsi Investment Management?","answer":"Egsi Investment Management’s direct owner is Edward Siddell (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Egsi Investment Management get paid?","answer":"Egsi Investment 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":"Is Egsi Investment Management registered with the SEC?","answer":"Yes, Egsi Investment Management has been registered with the SEC as an investment adviser since 17 July 2026. Its CRD number is 171488 and its SEC file number is 801-136784.","source":"Form ADV Part 1A, Item 1, filed 30 July 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Egsi Investment Management?","answer":"Egsi Investment Management’s main office is at 5100 Parkcenter Ave, Suite 120, Dublin, OH 43017. Its phone number is 614-526-4118. Its website is egsifinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 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."}