{"url":"https://nivawealth.com/firms/erguz-168009","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/168009","regulatoryAum":889000000,"crd":"168009","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6202592","suffix":null,"lastName":"GUZMAN ORTIZ","firstName":"JAVIER","middleName":null}],"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":"2021-03-23","regulatoryAum":513313643,"clients":38,"employees":1,"offices":1},{"filedOn":"2022-03-24","regulatoryAum":619235000,"clients":40,"employees":1,"offices":1},{"filedOn":"2023-03-25","regulatoryAum":580000000,"clients":44,"employees":1,"offices":1},{"filedOn":"2024-04-01","regulatoryAum":720717075,"clients":46,"employees":1,"offices":1},{"filedOn":"2025-03-20","regulatoryAum":804000000,"clients":50,"employees":1,"offices":1},{"filedOn":"2026-03-03","regulatoryAum":889000000,"clients":51,"employees":1,"offices":1}],"secFileNumber":"801-78230","legalName":"Erguz, LLC","displayName":"Erguz","slug":"erguz-168009","website":"https://erguz.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Texas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"9595 Six Pines DR., Suite 8210","city":"The Woodlands","state":"TX","stateName":"Texas","country":"United States","postalCode":"77380"},"tradeNames":[],"registration":{"secApproved":"5 July 2013","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":17431372.54901961,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":889000000,"discretionary":889000000,"discretionaryAccounts":159,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":82,"nonAumClients":51},"clientTypes":[{"label":"High-net-worth individuals","clients":51,"regulatoryAum":889000000}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T07:06:12.60571+00:00","documents":[{"name":"ERGUZ ADV2A 03.2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014109","versionId":1014109,"submittedOn":"2026-03-03"}]},"custodians":[{"name":"Morgan Stanley & Co. LLC","shortName":"Morgan Stanley","location":"New York, NY","smaAssets":325000000},{"name":"Raymond James Financial Services, Inc.","shortName":"Raymond James","location":"St. Petersburg, FL","smaAssets":351000000},{"name":"Goldman Sachs & Co. LLC","shortName":"Goldman Sachs & Co.","location":"New York, NY","smaAssets":142000000}],"custodyNote":"Erguz does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Javier Guzman Ortiz","title":"Managing Member, CCO","crd":"6202592"}],"ownership":[{"label":"Javier Guzman Ortiz","detail":"Managing member, cco in the 75% or more ownership band and a control person, since January 2013."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"9595 Six Pines DR., Suite 8210","city":"The Woodlands","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"832-631-6284","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":60},{"label":"Non-exchange-traded equity securities","percent":2},{"label":"Sovereign bonds","percent":31},{"label":"Investment grade corporate bonds","percent":5},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"3 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/168009/PDF/168009.pdf","brochureDate":"3 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014109","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 Erguz have?","answer":"Erguz has 51 clients and manages $889 million for them, as of March 2026. They include 51 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 3 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Erguz offer?","answer":"Erguz provides portfolio management for individuals and small businesses.","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 Erguz use?","answer":"Erguz’s separately managed account assets are held at Raymond James Financial Services, Inc. (St. Petersburg, FL), with $351M, Morgan Stanley & Co. LLC (New York, NY), with $325M and Goldman Sachs & Co. LLC (New York, NY), with $142M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Erguz have?","answer":"Erguz has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 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 Erguz invest in?","answer":"At the end of its last fiscal year, Erguz’s separately managed accounts held 60% exchange-traded equities, 31% sovereign bonds, 5% investment grade corporate bonds, 2% non-exchange-traded equities, 1% high-yield corporate bonds 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 Erguz?","answer":"Erguz’s direct owner is Javier Guzman Ortiz (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 3 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Erguz get paid?","answer":"Erguz 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":"How do I contact Erguz?","answer":"Erguz’s main office is at 9595 Six Pines DR., Suite 8210, The Woodlands, TX 77380. Its phone number is 832-631-6284. Its website is erguz.com.","source":"Form ADV Part 1A, Item 1.F, filed 3 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."}