{"url":"https://nivawealth.com/firms/fidelis-im-162985","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/162985","regulatoryAum":306143151,"crd":"162985","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5783555","suffix":null,"lastName":"DENN","firstName":"KEEGAN","middleName":"JAY"}],"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":"2021-03-31","regulatoryAum":159966300,"clients":170,"employees":3,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":209030650,"clients":186,"employees":3,"offices":1},{"filedOn":"2023-03-06","regulatoryAum":183305940,"clients":200,"employees":3,"offices":1},{"filedOn":"2024-03-26","regulatoryAum":219363674,"clients":211,"employees":3,"offices":1},{"filedOn":"2025-04-03","regulatoryAum":243739814,"clients":236,"employees":3,"offices":1},{"filedOn":"2026-03-27","regulatoryAum":306143151,"clients":275,"employees":3,"offices":1}],"secFileNumber":"801-118351","legalName":"Fidelis IM, LLC","displayName":"Fidelis IM","slug":"fidelis-im-162985","website":"https://fidelisim.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Oregon limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2950 E. Barnett Road","city":"Medford","state":"OR","stateName":"Oregon","country":"United States","postalCode":"97504"},"tradeNames":[],"registration":{"secApproved":"7 April 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":897818.1463414634,"staff":{"employees":3,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":306143151,"discretionary":306143151,"discretionaryAccounts":596,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":183,"regulatoryAum":59972138},{"label":"High-net-worth individuals","clients":63,"regulatoryAum":160891126},{"label":"Pension and profit-sharing plans","clients":29,"regulatoryAum":85279887}],"feePrograms":[{"role":"main","program":"Investment management and planning","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019417","versionId":1019417,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-16","documentName":"ADV PART 2A","fee_rate_low":null,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:30:59.715982+00:00","documents":[{"name":"ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019417","versionId":1019417,"submittedOn":"2026-03-16"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":306143151}],"custodyNote":"Fidelis IM has custody of $73.7M in client assets for 121 clients.","otherCustodians":[],"leadership":[{"name":"Keegan Denn","title":"President","crd":"5783555"},{"name":"Tracy Richards","title":"CCO","crd":"6041222"}],"ownership":[{"label":"Keegan Denn","detail":"President in the 50% to 75% ownership band and a control person, since March 2012."},{"label":"Tracy Richards","detail":"Cco in the 25% to 50% ownership band and a control person, since March 2012."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Oregon","offices":1,"addresses":[{"street":"2950 E. Barnett Road","city":"Medford","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"541-770-1311","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Other"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":3},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":94},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/162985/PDF/162985.pdf","brochureDate":"16 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019417","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 Fidelis IM have?","answer":"Fidelis IM has 275 clients and manages $306 million for them, as of March 2026. They include 183 individual clients, 63 high-net-worth individuals, and 29 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 Fidelis IM offer?","answer":"Fidelis IM provides financial planning and 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":"How much does Fidelis IM charge?","answer":"Fidelis IM charges up to 1.00% a year for its Investment management and planning. The fee is billed in arrears and is negotiable.","source":"ADV PART 2A, filed 16 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Fidelis IM use?","answer":"Fidelis IM’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $306M. 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 Fidelis IM have?","answer":"Fidelis IM has 1 investment adviser representative registered with state securities authorities, out of 3 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 Fidelis IM invest in?","answer":"At the end of its last fiscal year, Fidelis IM’s separately managed accounts held 94% registered funds (mutual funds, ETFs, BDCs), 3% exchange-traded equities, 2% cash and equivalents and 1% U.S. government and agency 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 Fidelis IM?","answer":"Fidelis IM’s direct owners are Keegan Denn (50% to 75%) and Tracy Richards (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Fidelis IM get paid?","answer":"Fidelis IM 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 Fidelis IM?","answer":"Fidelis IM’s main office is at 2950 E. Barnett Road, Medford, OR 97504. Its phone number is 541-770-1311. Its website is fidelisim.com.","source":"Form ADV Part 1A, Item 1.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/fidelis-im-162985/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-22","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1894206/000189420626000003/0001894206-26-000003-index.html","totalValue":293197368,"positionCount":27,"top10Share":0.9150345715245302,"top10":[{"issuer":"SCHWAB STRATEGIC TR","titleOfClass":"US LRG CAP ETF","cusip":"808524201","value":47699551,"shares":1620780,"shareType":"SH","priorValue":40739537,"priorShares":1588906},{"issuer":"VANGUARD SPECIALIZED FUNDS","titleOfClass":"DIV APP ETF","cusip":"921908844","value":42445226,"shares":179381,"shareType":"SH","priorValue":38316950,"priorShares":178169},{"issuer":"VANGUARD SCOTTSDALE FDS","titleOfClass":"SHRT TRM CORP 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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."}