{"url":"https://nivawealth.com/firms/engleson-and-associates-126349","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/126349","regulatoryAum":114468604,"crd":"126349","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5716244","suffix":null,"lastName":"VALERIE","firstName":"JONATHAN","middleName":"MICHAEL"}],"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":"2021-05-12","regulatoryAum":75037067,"clients":367,"employees":2,"offices":1},{"filedOn":"2022-07-29","regulatoryAum":88387021,"clients":327,"employees":2,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":79614842,"clients":329,"employees":2,"offices":1},{"filedOn":"2024-03-26","regulatoryAum":85565704,"clients":301,"employees":2,"offices":1},{"filedOn":"2025-03-27","regulatoryAum":102389997,"clients":365,"employees":4,"offices":1},{"filedOn":"2026-03-31","regulatoryAum":114468604,"clients":362,"employees":4,"offices":1}],"secFileNumber":"801-68896","legalName":"Engleson & Associates, Inc.","displayName":"Engleson & Associates","slug":"engleson-and-associates-126349","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"New York corporation","fiscalYearEnd":"December","headquarters":{"street":"930 East Avenue, Suite 300","city":"Rochester","state":"NY","stateName":"New York","country":"United States","postalCode":"14607"},"tradeNames":[],"registration":{"secApproved":"20 March 2008","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":316211.6132596685,"staff":{"employees":4,"advisory":4,"brokerDealerReps":1,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":114468604,"discretionary":108885679,"discretionaryAccounts":616,"nonDiscretionary":5582925,"nonDiscretionaryAccounts":11,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":274,"regulatoryAum":31214607},{"label":"High-net-worth individuals","clients":88,"regulatoryAum":83253997}],"feePrograms":[{"role":"main","program":"Portfolio management services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038177","versionId":1038177,"ratePeriod":"annual","fee_billing":null,"submittedOn":"2026-03-31","documentName":"PART 2A","fee_rate_low":0.75,"fee_rate_high":3,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Consulting services","summary":"Consulting is billed hourly at $100 to $500, or as a fixed fee typically $1,000 to $15,000, or as typically .25% to 3% of assets under advisement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038177","versionId":1038177,"submittedOn":"2026-03-31","documentName":"PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:51:13.715871+00:00","documents":[{"name":"PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038177","versionId":1038177,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":111669125}],"custodyNote":"Engleson & Associates has custody of $79.1M in client assets for 342 clients.","otherCustodians":[],"leadership":[{"name":"Jonathan Valerie","title":"President, Chief Executive Officer, Chief Compliance Officer","crd":"5716244"}],"ownership":[{"label":"Jonathan Valerie","detail":"President, chief executive officer, chief compliance officer in the 75% or more ownership band and a control person, since January 2015."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"930 East Avenue, Suite 300","city":"Rochester","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"585-424-6150","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Commissions"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":44},{"label":"Investment grade corporate bonds","percent":1},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":53},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/126349/PDF/126349.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038177","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 Engleson & Associates have?","answer":"Engleson & Associates has 362 clients and manages $114 million for them, as of March 2026. They include 274 individual clients and 88 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Engleson & Associates offer?","answer":"Engleson & Associates provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.","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 Engleson & Associates charge?","answer":"Engleson & Associates charges 0.75%–3.00% a year for its Portfolio management services. The fee is negotiable.","source":"PART 2A, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Engleson & Associates use?","answer":"Engleson & Associates’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $112M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Engleson & Associates have?","answer":"Engleson & Associates has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. 1 employee is a registered representative 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 Engleson & Associates invest in?","answer":"At the end of its last fiscal year, Engleson & Associates’ separately managed accounts held 53% registered funds (mutual funds, ETFs, BDCs), 44% exchange-traded equities, 1% investment grade corporate bonds, 1% derivatives and 1% cash and equivalents.","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 Engleson & Associates?","answer":"Engleson & Associates’ direct owner is Jonathan Valerie (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Engleson & Associates get paid?","answer":"Engleson & Associates is paid through a percentage of assets under management, hourly charges, fixed fees and commissions. Its Form ADV lists no 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 Engleson & Associates?","answer":"Engleson & Associates’ main office is at 930 East Avenue, Suite 300, Rochester, NY 14607. Its phone number is 585-424-6150.","source":"Form ADV Part 1A, Item 1.F, filed 31 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."}