{"url":"https://nivawealth.com/firms/fien-capital-management-114951","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/114951","regulatoryAum":137710371,"crd":"114951","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4440219","suffix":null,"lastName":"FIEN","firstName":"MARK","middleName":"ANTHONY"},{"crd":"5644286","suffix":null,"lastName":"WEIDMANN","firstName":"DAMIAN","middleName":null}],"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":"2021-03-19","regulatoryAum":111613104,"clients":115,"employees":2,"offices":1},{"filedOn":"2022-03-02","regulatoryAum":113969652,"clients":112,"employees":2,"offices":1},{"filedOn":"2023-03-17","regulatoryAum":110967254,"clients":113,"employees":2,"offices":1},{"filedOn":"2024-03-15","regulatoryAum":118263928,"clients":112,"employees":2,"offices":1},{"filedOn":"2025-03-17","regulatoryAum":124936879,"clients":106,"employees":2,"offices":1},{"filedOn":"2026-02-27","regulatoryAum":137710371,"clients":107,"employees":2,"offices":1}],"secFileNumber":"801-60490","legalName":"Fien Capital Management, LLC","displayName":"Fien Capital Management","slug":"fien-capital-management-114951","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"110 Allens Creek Road","city":"Rochester","state":"NY","stateName":"New York","country":"United States","postalCode":"14618"},"tradeNames":[],"registration":{"secApproved":"17 August 2001","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1229855.4953271027,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":137710371,"discretionary":137710371,"discretionaryAccounts":109,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":53,"regulatoryAum":17998721},{"label":"High-net-worth individuals","clients":54,"regulatoryAum":113595817},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":5799018},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":316815}],"feePrograms":[{"role":"main","program":"Basic fee schedule","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1,"from":0},{"to":null,"pct":0.75,"from":500000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012835","versionId":1012835,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-02-27","documentName":"FORM ADV PART2A 2-28-26","fee_rate_low":0.75,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:19:35.226108+00:00","documents":[{"name":"FORM ADV PART2A 2-28-26","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012835","versionId":1012835,"submittedOn":"2026-02-27"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Franciso, CA","smaAssets":137710371}],"custodyNote":"Fien Capital Management has custody of $101M in client assets for 53 clients.","otherCustodians":[],"leadership":[{"name":"Mark Fien","title":"President & Chief Compliance Officer","crd":"4440219"},{"name":"Damian Weidmann","title":"Vice President","crd":"5644286"}],"ownership":[{"label":"Mark Fien","detail":"President & chief compliance officer in the 75% or more ownership band and a control person, since July 2001."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"110 Allens Creek Road","city":"Rochester","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"585-271-8910","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","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":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":37},{"label":"U.S. government/agency bonds","percent":4},{"label":"Investment grade corporate bonds","percent":1},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":57}],"privateFunds":0},"sources":{"adv1FilingDate":"27 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/114951/PDF/114951.pdf","brochureDate":"27 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012835","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 Fien Capital Management have?","answer":"Fien Capital Management has 107 clients and manages $138 million for them, as of February 2026. They include 54 high-net-worth individuals and 53 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Fien Capital Management offer?","answer":"Fien Capital 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":"How much does Fien Capital Management charge?","answer":"Fien Capital Management charges 0.75%–1.00% a year for its Basic fee schedule. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"FORM ADV PART2A 2-28-26, filed 27 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Fien Capital Management use?","answer":"Fien Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Franciso, CA), with $138M. 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 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Fien Capital Management have?","answer":"Fien Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 2 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 Fien Capital Management invest in?","answer":"At the end of its last fiscal year, Fien Capital Management’s separately managed accounts held 57% registered funds (mutual funds, ETFs, BDCs), 37% exchange-traded equities, 4% U.S. government and agency bonds, 1% investment grade corporate bonds and 1% high-yield 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 Fien Capital Management?","answer":"Fien Capital Management’s direct owner is Mark Fien (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Fien Capital Management get paid?","answer":"Fien Capital Management 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 Fien Capital Management?","answer":"Fien Capital Management’s main office is at 110 Allens Creek Road, Rochester, NY 14618. Its phone number is 585-271-8910.","source":"Form ADV Part 1A, Item 1.F, filed 27 February 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."}