{"url":"https://nivawealth.com/firms/excomp-asset-management-110434","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/110434","regulatoryAum":140218941,"crd":"110434","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1694708","suffix":null,"lastName":"ATKINSON","firstName":"TIMOTHY","middleName":"DENNIS"},{"crd":"6155535","suffix":null,"lastName":"TESTERMAN","firstName":"BRETT","middleName":"JOHN"}],"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":"2021-06-22","regulatoryAum":142360199,"clients":204,"employees":4,"offices":1},{"filedOn":"2022-07-14","regulatoryAum":135906414,"clients":177,"employees":4,"offices":1},{"filedOn":"2023-07-20","regulatoryAum":130611387,"clients":167,"employees":5,"offices":1},{"filedOn":"2024-05-24","regulatoryAum":137121477,"clients":163,"employees":5,"offices":1},{"filedOn":"2025-05-21","regulatoryAum":133218402,"clients":153,"employees":5,"offices":1},{"filedOn":"2026-04-14","regulatoryAum":140218941,"clients":146,"employees":5,"offices":1}],"secFileNumber":"801-43057","legalName":"Excomp Asset Management LTD","displayName":"Excomp Asset Management","slug":"excomp-asset-management-110434","website":"https://excompam.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/110434/97908f52cf3cdf1b-r1.webp","tone":"light","width":1141,"height":200,"sourceUrl":"https://www.excompam.com/","sourceLabel":"Excomp Asset Management LTD, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"New York corporation","fiscalYearEnd":"March","headquarters":{"street":"425 Broadhollow RD, Suite 318","city":"Melville","state":"NY","stateName":"New York","country":"United States","postalCode":"11747"},"tradeNames":[],"registration":{"secApproved":"12 January 1993","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":922822.7445255475,"staff":{"employees":5,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":140218941,"discretionary":140218941,"discretionaryAccounts":146,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":101,"regulatoryAum":49982594},{"label":"High-net-worth individuals","clients":36,"regulatoryAum":76444122},{"label":"Pension and profit-sharing plans","clients":9,"regulatoryAum":13792225}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:06:50.736208+00:00","documents":[{"name":"EXCOMP ADV PART 2A 2025","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1041296","versionId":1041296,"submittedOn":"2026-04-14"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":130611387}],"custodyNote":"Excomp Asset Management has custody of $807K for 1 clients.","otherCustodians":[],"leadership":[{"name":"Timothy Atkinson","title":"President","crd":"1694708"},{"name":"Timothy Atkinson","title":"Chief Compliance Officer","crd":"1694708"}],"ownership":[{"label":"Timothy Atkinson","detail":"Chief compliance officer in the 75% or more ownership band and a control person, since October 2006. Also president in the 75% or more ownership band and a control person, since October 2006."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"425 Broadhollow RD, Suite 318","city":"Melville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"631-465-9670","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":15},{"label":"Securities issued by registered investment companies or business development companies","percent":75},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"14 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/110434/PDF/110434.pdf","brochureDate":"14 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1041296","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 Excomp Asset Management have?","answer":"Excomp Asset Management has 146 clients and manages $140 million for them, as of April 2026. They include 101 individual clients, 36 high-net-worth individuals, and 9 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 14 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Excomp Asset Management offer?","answer":"Excomp Asset Management provides 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":"Which custodians does Excomp Asset Management use?","answer":"Excomp Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $131M. 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 Excomp Asset Management have?","answer":"Excomp Asset Management has 0 investment adviser representatives registered with state securities authorities, out of 5 employees, and 2 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 Excomp Asset Management invest in?","answer":"At the end of its last fiscal year, Excomp Asset Management’s separately managed accounts held 75% registered funds (mutual funds, ETFs, BDCs), 15% exchange-traded equities and 10% 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 Excomp Asset Management?","answer":"Excomp Asset Management’s direct owner is Timothy Atkinson (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 14 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Excomp Asset Management get paid?","answer":"Excomp Asset 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":"How do I contact Excomp Asset Management?","answer":"Excomp Asset Management’s main office is at 425 Broadhollow RD, Suite 318, Melville, NY 11747. Its phone number is 631-465-9670. Its website is excompam.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."}