{"url":"https://nivawealth.com/firms/fierston-financial-group-105003","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/105003","regulatoryAum":1035576610,"crd":"105003","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7138635","suffix":null,"lastName":"Asnes","firstName":"Max","middleName":"Harrison"},{"crd":"2735018","suffix":null,"lastName":"FIERSTON","firstName":"BRIAN","middleName":null},{"crd":"7128003","suffix":null,"lastName":"Fierston","firstName":"Marissa","middleName":"Nicole"},{"crd":"7548098","suffix":null,"lastName":"Fierston","firstName":"Nathan","middleName":"Samuel"},{"crd":"4333000","suffix":null,"lastName":"FIERSTON","firstName":"SETH","middleName":"B."},{"crd":"7024251","suffix":null,"lastName":"FIERSTON","firstName":"WILLIAM","middleName":"NATHAN"}],"total":6,"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":"2021-02-23","regulatoryAum":776266438,"clients":310,"employees":7,"offices":1},{"filedOn":"2022-03-16","regulatoryAum":835963837,"clients":308,"employees":9,"offices":1},{"filedOn":"2023-03-04","regulatoryAum":718292259,"clients":311,"employees":7,"offices":1},{"filedOn":"2024-03-08","regulatoryAum":835866547,"clients":315,"employees":6,"offices":1},{"filedOn":"2025-05-21","regulatoryAum":942560611,"clients":320,"employees":7,"offices":1},{"filedOn":"2026-02-04","regulatoryAum":1035576610,"clients":315,"employees":7,"offices":1}],"secFileNumber":"801-34803","legalName":"Fierston Financial Group Inc","displayName":"Fierston Financial Group","slug":"fierston-financial-group-105003","website":"https://fierston.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/105003/9ac1826124d7d0a6-r1.webp","tone":"light","width":284,"height":200,"sourceUrl":"https://fierston.com/","sourceLabel":"Fierston Financial Group INC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/fierston-financial-group","founded":"1989","organization":"Connecticut corporation","fiscalYearEnd":"December","headquarters":{"street":"29 South Main St, Suite 302","city":"West Hartford","state":"CT","stateName":"Connecticut","country":"United States","postalCode":"06107"},"tradeNames":[],"registration":{"secApproved":"14 July 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Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006126","versionId":1006126,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-02-03","documentName":"FORM ADV PART 2A","fee_rate_low":0.75,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":1000000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning and Consulting Services (Stand-alone)","summary":"Stand-alone financial planning and consulting fees are negotiable, generally $1,000 to $7,500 fixed fee or $150 to $750 per hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006126","versionId":1006126,"submittedOn":"2026-02-03","documentName":"FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T05:51:59.668249+00:00","documents":[{"name":"FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006126","versionId":1006126,"submittedOn":"2026-02-03"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":1035576610}],"custodyNote":"Fierston Financial Group has custody of $473M in client assets for 176 clients.","leadership":[{"name":"Seth Fierston","title":"Co-President (12/2016) Chief Compliance Officer (10/2004)","crd":"4333000"},{"name":"Brian Fierston","title":"Co-President","crd":"2735018"}],"ownership":[{"label":"Brian Fierston","detail":"Co-president in the 50% to 75% ownership band and a control person, since December 2016."},{"label":"Seth Fierston","detail":"Co-president (12/2016) chief compliance officer (10/2004) in the 50% to 75% ownership band and a control person, since October 2004."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Connecticut","offices":1,"addresses":[{"street":"29 South Main St, Suite 302","city":"West Hartford","headquarters":true}]}],"brochureServices":["estate planning","insurance","retirement plan services"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"860-521-2100","stateRegisteredReps":5,"otherAdviserReps":0,"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","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"251-500","assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":89},{"label":"Cash and cash equivalents","percent":11}],"privateFunds":0},"sources":{"adv1FilingDate":"4 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/105003/PDF/105003.pdf","brochureDate":"3 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006126","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 Fierston Financial Group have?","answer":"Fierston Financial Group has 315 clients and manages $1.04 billion for them, as of February 2026. They include 180 high-net-worth individuals, 130 individual clients, and 5 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 4 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Fierston Financial Group offer?","answer":"Fierston Financial Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, estate planning, insurance, and retirement plan services.","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":"How much does Fierston Financial Group charge?","answer":"Fierston Financial Group charges 0.75%–1.00% a year for its Portfolio Management Services. The fee is billed in arrears, is negotiable and requires an account of at least $1,000,000.","source":"FORM ADV PART 2A, filed 3 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Fierston Financial Group use?","answer":"Fierston Financial Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $1.04B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Fierston Financial Group have?","answer":"Fierston Financial Group has 5 investment adviser representatives registered with state securities authorities, out of 7 employees, and 5 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 Fierston Financial Group invest in?","answer":"At the end of its last fiscal year, Fierston Financial Group’s separately managed accounts held 89% registered funds (mutual funds, ETFs, BDCs) and 11% 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":"Does Fierston Financial Group have a minimum investment?","answer":"Yes, Fierston Financial Group’s minimum account size for its Portfolio Management Services is $1M.","source":"FORM ADV PART 2A, filed 3 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Fierston Financial Group?","answer":"Fierston Financial Group’s direct owners are Brian Fierston (50% to 75%) and Seth Fierston (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 4 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Fierston Financial Group get paid?","answer":"Fierston Financial Group 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":"Is Fierston Financial Group registered with the SEC?","answer":"Yes, Fierston Financial Group has been registered with the SEC as an investment adviser since 14 July 1989. Its CRD number is 105003 and its SEC file number is 801-34803.","source":"Form ADV Part 1A, Item 1, filed 4 February 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Fierston Financial Group?","answer":"Fierston Financial Group’s main office is at 29 South Main St, Suite 302, West Hartford, CT 06107. Its phone number is 860-521-2100. Its website is fierston.com.","source":"Form ADV Part 1A, Item 1.F, filed 4 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."}