{"url":"https://nivawealth.com/firms/ergawealth-advisors-290030","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/290030","regulatoryAum":341500000,"crd":"290030","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3247231","suffix":null,"lastName":"LATERREUR","firstName":"IAN","middleName":"LEO"},{"crd":"2855025","suffix":null,"lastName":"RYAN","firstName":"JEFFREY","middleName":"LAUREN"}],"total":2,"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":"2022-04-26","regulatoryAum":168791689,"clients":378,"employees":7,"offices":4},{"filedOn":"2023-07-01","regulatoryAum":200587175,"clients":396,"employees":9,"offices":4},{"filedOn":"2024-07-29","regulatoryAum":265114960,"clients":486,"employees":8,"offices":4},{"filedOn":"2025-05-28","regulatoryAum":316652570,"clients":505,"employees":7,"offices":3},{"filedOn":"2026-03-27","regulatoryAum":341500000,"clients":415,"employees":5,"offices":2}],"secFileNumber":"801-123353","legalName":"Ergawealth Advisors, Inc.","displayName":"Ergawealth Advisors","slug":"ergawealth-advisors-290030","website":"https://ergawealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2006","organization":"Illinois corporation","fiscalYearEnd":"December","headquarters":{"street":"1200 Harger Road, Suite 711","city":"Oak Brook","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60523"},"tradeNames":[],"registration":{"secApproved":"4 March 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":780541.8719211823,"staff":{"employees":5,"advisory":2,"brokerDealerReps":2,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":341500000,"discretionary":330000000,"discretionaryAccounts":1068,"nonDiscretionary":11500000,"nonDiscretionaryAccounts":9,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":317,"regulatoryAum":99500000},{"label":"High-net-worth individuals","clients":89,"regulatoryAum":217400000},{"label":"Pension and profit-sharing plans","clients":9,"regulatoryAum":11500000},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":13100000}],"feePrograms":[{"role":"other","program":"American Funds F2 Program","summary":"For accounts at American Funds where fees are paid from the account, fees range up to 1.00% of assets at AFS and are negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029814","versionId":1029814,"submittedOn":"2026-03-27","documentName":"ERGAWEALTH ADVISORS DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND PRIVACY POLICY"},{"role":"other","program":"Financial Planning and Consulting","summary":"Hourly fees range up to $500, and ongoing financial planning is a fixed annual fee of up to $10,000 a year; fees may be negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029814","versionId":1029814,"submittedOn":"2026-03-27","documentName":"ERGAWEALTH ADVISORS DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND PRIVACY POLICY"},{"role":"other","program":"Retirement Plan Advisory Services","summary":"Retirement plan advisory fees are an annual asset-based fee of up to 1.00%, paid quarterly and possibly negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029814","versionId":1029814,"submittedOn":"2026-03-27","documentName":"ERGAWEALTH ADVISORS DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND PRIVACY POLICY"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T10:23:19.85215+00:00","documents":[{"name":"ERGAWEALTH ADVISORS DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND PRIVACY POLICY","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029814","versionId":1029814,"submittedOn":"2026-03-27"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":328165000}],"custodyNote":"Ergawealth Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Ian Laterreur","title":"Managing Partner, Chief Compliance Officer, Wealth Advisor","crd":"3247231"}],"ownership":[{"label":"Ian Laterreur","detail":"Managing partner, chief compliance officer, wealth advisor in the 75% or more ownership band and a control person, since September 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":2,"addresses":[{"street":"1200 Harger Road, Suite 711","city":"Oak Brook","headquarters":true},{"street":"18161 Morris Ave","city":"Homewood"}]}],"brochureServices":["education planning","insurance","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"630-320-2078","stateRegisteredReps":2,"otherAdviserReps":2,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":52},{"label":"U.S. government/agency bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":43},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/290030/PDF/290030.pdf","brochureDate":"27 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029814","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 Ergawealth Advisors have?","answer":"Ergawealth Advisors has 415 clients and manages $342 million for them, as of March 2026. They include 317 individual clients, 89 high-net-worth individuals, and 9 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ergawealth Advisors offer?","answer":"Ergawealth Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, education planning, insurance, and tax planning.","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 Ergawealth Advisors use?","answer":"Ergawealth Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $328M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Ergawealth Advisors have?","answer":"Ergawealth Advisors has 2 investment adviser representatives registered with state securities authorities, out of 5 employees, and 2 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 2 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 Ergawealth Advisors invest in?","answer":"At the end of its last fiscal year, Ergawealth Advisors’ separately managed accounts held 52% exchange-traded equities, 43% registered funds (mutual funds, ETFs, BDCs), 3% cash and equivalents, 1% U.S. government and agency bonds and 1% investment grade corporate 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 Ergawealth Advisors?","answer":"Ergawealth Advisors’ direct owner is Ian Laterreur (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ergawealth Advisors get paid?","answer":"Ergawealth Advisors is paid through a percentage of assets under management, hourly charges 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 Ergawealth Advisors?","answer":"Ergawealth Advisors’ main office is at 1200 Harger Road, Suite 711, Oak Brook, IL 60523. Its phone number is 630-320-2078. Its website is ergawealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/ergawealth-advisors-290030/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-07","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1973209/000195175726001147/0001951757-26-001147-index.html","totalValue":257508490,"positionCount":54,"top10Share":0.8543786148565432,"top10":[{"issuer":"FIRST TR EXCHANGE TRADED FD","titleOfClass":"BUYWRIT INCM ETF","cusip":"33738R308","value":63185013,"shares":2649267,"shareType":"SH","priorValue":54333845,"priorShares":2367488},{"issuer":"CAPITAL GROUP GROWTH ETF","titleOfClass":"SHS CREAT UNIT","cusip":"14020G101","value":37615612,"shares":796941,"shareType":"SH","priorValue":30796891,"priorShares":766282},{"issuer":"CAPITAL GROUP DIVIDEND VALUE","titleOfClass":"SHS CREAT UNIT","cusip":"14020W106","value":31570454,"shares":640634,"shareType":"SH","priorValue":26970967,"priorShares":634014},{"issuer":"CAPITAL GROUP EQUITY ETF TR","titleOfClass":"US SM MI CA ETF","cusip":"14022A102","value":26891130,"shares":815624,"shareType":"SH","priorValue":23315264,"priorShares":794117},{"issuer":"CAPITAL GROUP GBL GROWTH EQT","titleOfClass":"SHS CREAT UNIT","cusip":"14020X104","value":20963674,"shares":495244,"shareType":"SH","priorValue":16271708,"priorShares":487615},{"issuer":"CAPITAL GROUP CORE EQUITY ET","titleOfClass":"SHS CREAT UNIT","cusip":"14020V108","value":19191519,"shares":431464,"shareType":"SH","priorValue":16248190,"priorShares":422910},{"issuer":"CAPITAL GROUP NEW GEOGRAPHY","titleOfClass":"SHS","cusip":"14021N105","value":6602428,"shares":176253,"shareType":"SH","priorValue":5492518,"priorShares":173979},{"issuer":"FIRST TR EXCHNG TRADED FD VI","titleOfClass":"FT LADD BUFF ETF","cusip":"33740F755","value":5238950,"shares":143415,"shareType":"SH","priorValue":5607373,"priorShares":166046},{"issuer":"FIRST TR EXCHANGE TRADED FD","titleOfClass":"RISNG DIVD ACHIV","cusip":"33738R506","value":5064176,"shares":62474,"shareType":"SH","priorValue":4382258,"priorShares":64181},{"issuer":"FIRST TR EXCHANGE-TRADED FD","titleOfClass":"CAP STRENGTH ETF","cusip":"33733E104","value":3686791,"shares":39255,"shareType":"SH","priorValue":3692992,"priorShares":39812}],"positionsListed":54,"positions":[{"issuer":"FIRST TR EXCHANGE TRADED FD","titleOfClass":"BUYWRIT INCM ETF","cusip":"33738R308","value":63185013,"shares":2649267,"shareType":"SH","priorValue":54333845,"priorShares":2367488},{"issuer":"CAPITAL GROUP GROWTH ETF","titleOfClass":"SHS CREAT UNIT","cusip":"14020G101","value":37615612,"shares":796941,"shareType":"SH","priorValue":30796891,"priorShares":766282},{"issuer":"CAPITAL GROUP DIVIDEND VALUE","titleOfClass":"SHS CREAT UNIT","cusip":"14020W106","value":31570454,"shares":640634,"shareType":"SH","priorValue":26970967,"priorShares":634014},{"issuer":"CAPITAL GROUP EQUITY ETF TR","titleOfClass":"US SM MI CA ETF","cusip":"14022A102","value":26891130,"shares":815624,"shareType":"SH","priorValue":23315264,"priorShares":794117},{"issuer":"CAPITAL GROUP GBL GROWTH EQT","titleOfClass":"SHS CREAT UNIT","cusip":"14020X104","value":20963674,"shares":495244,"shareType":"SH","priorValue":16271708,"priorShares":487615},{"issuer":"CAPITAL GROUP CORE EQUITY ET","titleOfClass":"SHS CREAT UNIT","cusip":"14020V108","value":19191519,"shares":431464,"shareType":"SH","priorValue":16248190,"priorShares":422910},{"issuer":"CAPITAL GROUP NEW GEOGRAPHY","titleOfClass":"SHS","cusip":"14021N105","value":6602428,"shares":176253,"shareType":"SH","priorValue":5492518,"priorShares":173979},{"issuer":"FIRST TR EXCHNG TRADED FD VI","titleOfClass":"FT LADD BUFF ETF","cusip":"33740F755","value":5238950,"shares":143415,"shareType":"SH","priorValue":5607373,"priorShares":166046},{"issuer":"FIRST TR EXCHANGE TRADED FD","titleOfClass":"RISNG DIVD ACHIV","cusip":"33738R506","value":5064176,"shares":62474,"shareType":"SH","priorValue":4382258,"priorShares":64181},{"issuer":"FIRST TR EXCHANGE-TRADED FD","titleOfClass":"CAP STRENGTH ETF","cusip":"33733E104","value":3686791,"shares":39255,"shareType":"SH","priorValue":3692992,"priorShares":39812},{"issuer":"FIRST TR EXCHNG TRADED FD VI","titleOfClass":"FT VEST NASD ETF","cusip":"33740U752","value":3009653,"shares":76640,"shareType":"SH","priorValue":3236018,"priorShares":91620},{"issuer":"FIRST TR EXCHANGE TRADED FD","titleOfClass":"SMID RISNG ETF","cusip":"33741X102","value":2647928,"shares":61380,"shareType":"SH","priorValue":2423372,"priorShares":61460},{"issuer":"J P MORGAN EXCHANGE TRADED F","titleOfClass":"EQUITY PREMIUM","cusip":"46641Q332","value":2499537,"shares":44255,"shareType":"SH","priorValue":3515018,"priorShares":62015},{"issuer":"J P MORGAN EXCHANGE TRADED F","titleOfClass":"ULTRA SHRT ETF","cusip":"46641Q837","value":2296306,"shares":45408,"shareType":"SH","priorValue":2657859,"priorShares":52516},{"issuer":"PACER FDS TR","titleOfClass":"LUNT LRGCP MULTI","cusip":"69374H816","value":2192272,"shares":36690,"shareType":"SH","priorValue":1996541,"priorShares":38536},{"issuer":"APPLE INC","titleOfClass":"COM","cusip":"037833100","value":1947520,"shares":6730,"shareType":"SH","priorValue":1832207,"priorShares":7219},{"issuer":"JANUS DETROIT STR TR","titleOfClass":"HENDERSON MTG","cusip":"47103U852","value":1590746,"shares":35358,"shareType":"SH","priorValue":1604039,"priorShares":35503},{"issuer":"PIMCO ETF TR","titleOfClass":"MULTISECTOR BD","cusip":"72201R585","value":1558766,"shares":58777,"shareType":"SH","priorValue":1544007,"priorShares":58932},{"issuer":"EA SERIES TRUST","titleOfClass":"STRIVE ENHANCED","cusip":"02072L441","value":1553645,"shares":76761,"shareType":"SH","priorValue":1682301,"priorShares":83097},{"issuer":"SHERWIN WILLIAMS CO","titleOfClass":"COM","cusip":"824348106","value":1549440,"shares":4500,"shareType":"SH","priorValue":1442475,"priorShares":4500},{"issuer":"FIRST TR EXCHNG TRADED FD VI","titleOfClass":"FT VEST LAD","cusip":"33740U729","value":1462024,"shares":52346,"shareType":"SH","priorValue":1571393,"priorShares":59817},{"issuer":"ABBVIE INC","titleOfClass":"COM","cusip":"00287Y109","value":1287463,"shares":5116,"shareType":"SH","priorValue":1112693,"priorShares":5116},{"issuer":"ISHARES TR","titleOfClass":"MSCI USA MIN ETF","cusip":"46429B697","value":1184223,"shares":12277,"shareType":"SH","priorValue":1135951,"priorShares":12249},{"issuer":"ISHARES TR","titleOfClass":"MSCI USA QLT FCT","cusip":"46432F339","value":1093230,"shares":4982,"shareType":"SH","priorValue":954306,"priorShares":4975},{"issuer":"FIRST TR EXCHNG TRADED FD VI","titleOfClass":"FT VEST DEEP ETF","cusip":"33740U703","value":866962,"shares":29171,"shareType":"SH","priorValue":951580,"priorShares":33985},{"issuer":"BANK OF AMER CORP","titleOfClass":"COM","cusip":"060505104","value":732478,"shares":12855,"shareType":"SH","priorValue":626681,"priorShares":12855},{"issuer":"FORD MTR CO","titleOfClass":"COM","cusip":"345370860","value":695459,"shares":50033,"shareType":"SH","priorValue":865881,"priorShares":75033},{"issuer":"INTERNATIONAL BUSINESS MACHS","titleOfClass":"COM","cusip":"459200101","value":606008,"shares":2155,"shareType":"SH","priorValue":522350,"priorShares":2155},{"issuer":"CIENA CORP","titleOfClass":"COM NEW","cusip":"171779309","value":510673,"shares":1041,"shareType":"SH"},{"issuer":"ISHARES TR","titleOfClass":"CORE S&P500 ETF","cusip":"464287200","value":497250,"shares":664,"shareType":"SH","priorValue":433720,"priorShares":664},{"issuer":"ISHARES TR","titleOfClass":"US SML CAP EQT","cusip":"46434V290","value":468933,"shares":5261,"shareType":"SH","priorValue":396438,"priorShares":5252},{"issuer":"AMAZON COM INC","titleOfClass":"COM","cusip":"023135106","value":459043,"shares":1926,"shareType":"SH","priorValue":463609,"priorShares":2226},{"issuer":"ALPS ETF TR","titleOfClass":"ALERIAN MLP","cusip":"00162Q452","value":444813,"shares":8579,"shareType":"SH","priorValue":471343,"priorShares":8954},{"issuer":"NEOS ETF TRUST","titleOfClass":"NEOS S&P 500 HI","cusip":"78433H303","value":443479,"shares":8353,"shareType":"SH","priorValue":405065,"priorShares":8205},{"issuer":"CHEMOURS CO","titleOfClass":"COM","cusip":"163851108","value":412452,"shares":20100,"shareType":"SH","priorValue":442803,"priorShares":20100},{"issuer":"MICROSOFT CORP","titleOfClass":"COM","cusip":"594918104","value":404986,"shares":1086,"shareType":"SH","priorValue":407444,"priorShares":1101},{"issuer":"ABBOTT LABORATORIES","titleOfClass":"COM","cusip":"002824100","value":396517,"shares":4370,"shareType":"SH","priorValue":452225,"priorShares":4405},{"issuer":"ISHARES TR","titleOfClass":"MSCI USA MMENTM","cusip":"46432F396","value":376846,"shares":1099,"shareType":"SH","priorValue":263650,"priorShares":1099},{"issuer":"ETF OPPORTUNITIES TRUST","titleOfClass":"HEDGEYE CAPITAL","cusip":"26923Q747","value":331941,"shares":12159,"shareType":"SH","priorValue":330821,"priorShares":11459},{"issuer":"FIRST TR EXCHNG TRADED FD VI","titleOfClass":"FT VEST US EQT","cusip":"33740U661","value":320478,"shares":7369,"shareType":"SH","priorValue":300481,"priorShares":7369},{"issuer":"ISHARES TR","titleOfClass":"U S EQUITY FACTR","cusip":"46434V282","value":309861,"shares":4097,"shareType":"SH","priorValue":270286,"priorShares":4095},{"issuer":"FIRST TR EXCHNG TRADED FD VI","titleOfClass":"VEST US MAX BUFF","cusip":"33740U570","value":306531,"shares":8858,"shareType":"SH","priorValue":297239,"priorShares":8858},{"issuer":"ISHARES TR","titleOfClass":"CORE US AGGBD ET","cusip":"464287226","value":287537,"shares":2905,"shareType":"SH","priorValue":291854,"priorShares":2940},{"issuer":"FIRST TR EXCHANGE-TRADED FD","titleOfClass":"FT VEST RIS","cusip":"33738D879","value":286633,"shares":9749,"shareType":"SH","priorValue":403170,"priorShares":15780},{"issuer":"PACER FDS TR","titleOfClass":"LUNT LRG CP ALTR","cusip":"69374H717","value":285869,"shares":5572,"shareType":"SH","priorValue":511849,"priorShares":11664},{"issuer":"SELECT SECTOR SPDR TR","titleOfClass":"ST STR UTIL ETF","cusip":"81369Y886","value":267491,"shares":5900,"shareType":"SH","priorValue":270879,"priorShares":5903},{"issuer":"FIRST TR EXCHANGE-TRADED FD","titleOfClass":"FT VEST S&P 500","cusip":"33739Q705","value":260698,"shares":5162,"shareType":"SH","priorValue":554826,"priorShares":11390},{"issuer":"ELI LILLY & CO","titleOfClass":"COM","cusip":"532457108","value":256678,"shares":214,"shareType":"SH"},{"issuer":"J P MORGAN EXCHANGE TRADED F","titleOfClass":"NASDAQ EQT PREM","cusip":"46654Q203","value":248470,"shares":4043,"shareType":"SH","priorValue":387121,"priorShares":6973},{"issuer":"EXXON MOBIL CORP","titleOfClass":"COM","cusip":"30231G102","value":244788,"shares":1790,"shareType":"SH","priorValue":292228,"priorShares":1722},{"issuer":"PIMCO ETF TR","titleOfClass":"25YR+ ZERO U S","cusip":"72201R882","value":235952,"shares":3681,"shareType":"SH","priorValue":235621,"priorShares":3681},{"issuer":"FIFTH THIRD BANCORP","titleOfClass":"COM","cusip":"316773100","value":228919,"shares":4061,"shareType":"SH"},{"issuer":"ISHARES TR","titleOfClass":"1 3 YR TREAS BD","cusip":"464287457","value":219316,"shares":2671,"shareType":"SH","priorValue":220544,"priorShares":2671},{"issuer":"ISHARES TR","titleOfClass":"0-5 YR TIPS ETF","cusip":"46429B747","value":218929,"shares":2143,"shareType":"SH","priorValue":221650,"priorShares":2143}]},"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."}