{"url":"https://nivawealth.com/firms/equinum-304350","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/304350","regulatoryAum":566026178,"crd":"304350","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7123901","suffix":null,"lastName":"HALBERSTAM","firstName":"JACOB","middleName":"Y."},{"crd":"7415740","suffix":null,"lastName":"Lerman","firstName":"Menachem","middleName":"Mendel"},{"crd":"4730525","suffix":null,"lastName":"PINSON","firstName":"ARON","middleName":null},{"crd":"1809557","suffix":null,"lastName":"STEUER","firstName":"SHELDON","middleName":"LEWIS"},{"crd":"5332017","suffix":null,"lastName":"WAXLER","firstName":"ZACHARIA","middleName":null}],"total":5,"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":"2021-02-22","regulatoryAum":148023425,"clients":43,"employees":6,"offices":1},{"filedOn":"2022-04-27","regulatoryAum":337993259,"clients":97,"employees":5,"offices":1},{"filedOn":"2023-04-14","regulatoryAum":342431988,"clients":146,"employees":5,"offices":1},{"filedOn":"2024-02-21","regulatoryAum":349729972,"clients":135,"employees":6,"offices":1},{"filedOn":"2025-04-29","regulatoryAum":396653120,"clients":194,"employees":6,"offices":1},{"filedOn":"2026-04-14","regulatoryAum":566026178,"clients":214,"employees":5,"offices":3}],"secFileNumber":"801-116824","legalName":"Equinum, LLC","displayName":"Equinum","slug":"equinum-304350","website":"https://equinum.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/26200443/admin/","founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"3611 14th Avenue, Suite 221","city":"Brooklyn","state":"NY","stateName":"New York","country":"United States","postalCode":"11218"},"tradeNames":["Equinum Wealth Management"],"registration":{"secApproved":"27 June 2019","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1975567.082191781,"staff":{"employees":5,"advisory":5,"brokerDealerReps":0,"insuranceAgents":0,"promoters":2},"aum":{"regulatory":566026178,"discretionary":541488327,"discretionaryAccounts":485,"nonDiscretionary":24537851,"nonDiscretionaryAccounts":13,"wrapProgram":null,"nonUsClientsPct":2,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":54,"regulatoryAum":29183094},{"label":"High-net-worth individuals","clients":92,"regulatoryAum":259249700},{"label":"Pension and profit-sharing plans","clients":21,"regulatoryAum":36211546},{"label":"Charitable organizations","clients":38,"regulatoryAum":224075633},{"label":"Corporations and other businesses","clients":9,"regulatoryAum":17306205}],"feePrograms":[{"role":"main","program":"Investment Supervisory Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060223","versionId":1060223,"ratePeriod":"annual","fee_billing":"both","submittedOn":"2026-10-06","documentName":"EQUINUM, LLC - 2A FIRM BROCHURE","fee_rate_low":1,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"401(k) Plan Fund Selection","summary":"Equinum charges 0.40% for recommending mutual funds and ETFs for each 401(k) plan it manages on a third-party platform.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060223","versionId":1060223,"submittedOn":"2026-10-06","documentName":"EQUINUM, LLC - 2A FIRM BROCHURE"},{"role":"other","program":"Family Office Services","summary":"The family office rate is 0.10% of assets under advisement, excluding assets the firm manages directly, with a minimum annual fee of $40,000 billed quarterly.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060223","versionId":1060223,"submittedOn":"2026-10-06","documentName":"EQUINUM, LLC - 2A FIRM BROCHURE"},{"role":"other","program":"Robo-Advisory Services","summary":"Robo-advisory accounts are charged an annual advisory fee of 0.40% on assets above $50,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060223","versionId":1060223,"submittedOn":"2026-10-06","documentName":"EQUINUM, LLC - 2A FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T10:38:49.459085+00:00","documents":[{"name":"EQUINUM, LLC - 2A FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060223","versionId":1060223,"submittedOn":"2026-10-06"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":500162075}],"custodyNote":"Equinum has custody of $2.8M in client assets for 2 clients.","otherCustodians":[],"leadership":[{"name":"Jacob Halberstam","title":"Chief Compliance Officer","crd":"7123901"},{"name":"Aron Pinson","title":"Chief Investment Officer / Founder","crd":"4730525"}],"ownership":[{"label":"Waxler Family Holdings LLC","detail":"Sole member - owner in the 25% to 50% ownership band, since July 2024."},{"label":"Roth & Company, LLP","detail":"Co-owner in the 25% to 50% ownership band and a control person, since May 2019."},{"label":"PFT Investments LLC","detail":"Sole member - owner in the 25% to 50% ownership band, since August 2024."},{"label":"Zacharia Waxler","detail":"Indirect owner: a sole member of Waxler Family Holdings LLC in the 75% or more band and a control person, since July 2024. Also a sole member of Roth & Company, LLP in the 75% or more band and a control person, since July 2024.","parent":"Waxler Family Holdings LLC"},{"label":"Ap 2024 Family Trust","detail":"Indirect owner: a stockholder of PFT Investments LLC in the 75% or more band, since August 2024.","parent":"PFT Investments LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"New Jersey","offices":1,"addresses":[{"street":"400 Boulevard of the Americas","city":"Lakewood"}]},{"state":"New York","offices":2,"addresses":[{"street":"3611 14th Avenue, Suite 221","city":"Brooklyn","headquarters":true},{"street":"347 West 41st Street","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"718-480-5600","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":48},{"label":"U.S. government/agency bonds","percent":40},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":2},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":3},{"label":"Cash and cash equivalents","percent":5},{"label":"Other","percent":1,"detail":"Categories That Fell Under 1%"}],"privateFunds":0},"sources":{"adv1FilingDate":"14 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/304350/PDF/304350.pdf","brochureDate":"6 October 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060223","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 Equinum have?","answer":"Equinum has 214 clients and manages $566 million for them, as of April 2026. They include 92 high-net-worth individuals, 54 individual clients and 38 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 14 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Equinum offer?","answer":"Equinum provides financial planning, portfolio management for individuals and small businesses, 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":"How much does Equinum charge?","answer":"Equinum charges 1.00% a year for its Investment Supervisory Services. The fee is billed in advance or in arrears and is negotiable.","source":"EQUINUM, LLC - 2A FIRM BROCHURE, filed 6 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Equinum use?","answer":"Equinum’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $500M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 14 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Equinum have?","answer":"Equinum has 5 investment adviser representatives registered with state securities authorities, out of 5 employees, and 5 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 Equinum invest in?","answer":"At the end of its last fiscal year, Equinum’s separately managed accounts held 48% exchange-traded equities, 40% U.S. government and agency bonds, 5% cash and equivalents, 3% pooled vehicles (private funds and similar), 2% registered funds (mutual funds, ETFs, BDCs), 1% investment grade corporate bonds and 1% other. The 1% other category is described as: Categories That Fell Under 1%.","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 Equinum?","answer":"Equinum is owned through holding companies by Zacharia Waxler and Ap 2024 Family Trust. Its direct owners are Waxler Family Holdings LLC, Roth & Company, LLP and PFT Investments LLC, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 14 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Equinum get paid?","answer":"Equinum is paid through a percentage of assets under management. 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 Equinum?","answer":"Equinum’s main office is at 3611 14th Avenue, Suite 221, Brooklyn, NY 11218. Its phone number is 718-480-5600. Its website is equinum.com.","source":"Form ADV Part 1A, Item 1.F, filed 14 April 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."}