{"url":"https://nivawealth.com/firms/fisher-and-wiens-wealth-management-286079","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/286079","regulatoryAum":250341000,"crd":"286079","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5063122","suffix":null,"lastName":"FISHER","firstName":"BEAU","middleName":"MITCHEL"}],"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":"2021-03-05","regulatoryAum":190424543,"clients":268,"employees":3,"offices":1},{"filedOn":"2022-05-26","regulatoryAum":220954908,"clients":302,"employees":3,"offices":1},{"filedOn":"2023-05-26","regulatoryAum":185612520,"clients":297,"employees":2,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":219000000,"clients":301,"employees":2,"offices":1},{"filedOn":"2025-03-27","regulatoryAum":231600000,"clients":250,"employees":2,"offices":2},{"filedOn":"2026-03-04","regulatoryAum":250341000,"clients":300,"employees":1,"offices":1}],"secFileNumber":"801-108777","legalName":"Fisher & Wiens Wealth Management, LLC","displayName":"Fisher & Wiens Wealth Management","slug":"fisher-and-wiens-wealth-management-286079","website":"https://fisherandwiens.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2014","organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"931 Hartz Avenue, Suite 201","city":"Danville","state":"CA","stateName":"California","country":"United States","postalCode":"94526"},"tradeNames":[],"registration":{"secApproved":"16 December 2016","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":829470,"staff":{"employees":1,"advisory":1,"brokerDealerReps":1,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":250341000,"discretionary":250341000,"discretionaryAccounts":560,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":148,"regulatoryAum":63500000},{"label":"High-net-worth individuals","clients":152,"regulatoryAum":185341000},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":1500000}],"feePrograms":[{"role":"main","program":"Comprehensive Portfolio Management","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014617","versionId":1014617,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-04","documentName":"FIRM BROCHURE","fee_rate_low":null,"fee_rate_high":2.5,"fee_negotiable":true,"minimum_account":1000000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:39:28.202055+00:00","documents":[{"name":"FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014617","versionId":1014617,"submittedOn":"2026-03-04"}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Boston, MA","smaAssets":250341000}],"custodyNote":"Fisher & Wiens Wealth Management has custody of $62.2M for 140 clients.","otherCustodians":[],"leadership":[{"name":"Beau Fisher","title":"Trustee & Chief Compliance Officer","crd":"5063122"},{"name":"Stacy Fisher","title":"Trustee","crd":"6731461"}],"ownership":[{"label":"Beau Fisher & Stacy Fisher Revocable Trust","detail":"Managing member in the 75% or more ownership band and a control person, since January 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"931 Hartz Avenue, Suite 201","city":"Danville","headquarters":true}]}],"brochureServices":["financial planning","insurance"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"925-964-0090","stateRegisteredReps":1,"otherAdviserReps":1,"compensation":["A percentage of assets under management"],"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":15},{"label":"U.S. government/agency bonds","percent":5},{"label":"Investment grade corporate bonds","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":70},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"4 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/286079/PDF/286079.pdf","brochureDate":"4 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014617","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 Fisher & Wiens Wealth Management have?","answer":"Fisher & Wiens Wealth Management has 300 clients and manages $250 million for them, as of March 2026. They include 152 high-net-worth individuals and 148 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 4 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Fisher & Wiens Wealth Management offer?","answer":"Fisher & Wiens Wealth Management provides portfolio management for individuals and small businesses, portfolio management for institutions, financial planning, and insurance.","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 Fisher & Wiens Wealth Management charge?","answer":"Fisher & Wiens Wealth Management charges up to 2.50% a year for its Comprehensive Portfolio Management. The fee is billed in advance, is negotiable and requires an account of at least $1,000,000.","source":"FIRM BROCHURE, filed 4 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Fisher & Wiens Wealth Management use?","answer":"Fisher & Wiens Wealth Management’s separately managed account assets are held at LPL Financial LLC (Boston, MA), with $250M. 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 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Fisher & Wiens Wealth Management have?","answer":"Fisher & Wiens Wealth Management has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 1 employee is a licensed insurance agent.","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 Fisher & Wiens Wealth Management invest in?","answer":"At the end of its last fiscal year, Fisher & Wiens Wealth Management’s separately managed accounts held 70% registered funds (mutual funds, ETFs, BDCs), 15% exchange-traded equities, 5% U.S. government and agency bonds, 5% investment grade corporate bonds and 5% 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 Fisher & Wiens Wealth Management have a minimum investment?","answer":"Yes, Fisher & Wiens Wealth Management’s minimum account size for its Comprehensive Portfolio Management is $1M.","source":"FIRM BROCHURE, filed 4 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Fisher & Wiens Wealth Management?","answer":"Fisher & Wiens Wealth Management’s direct owner is Beau Fisher & Stacy Fisher Revocable Trust (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 4 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Fisher & Wiens Wealth Management get paid?","answer":"Fisher & Wiens Wealth Management is paid through a percentage of assets under management. 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 Fisher & Wiens Wealth Management?","answer":"Fisher & Wiens Wealth Management’s main office is at 931 Hartz Avenue, Suite 201, Danville, CA 94526. Its phone number is 925-964-0090. Its website is fisherandwiens.com.","source":"Form ADV Part 1A, Item 1.F, filed 4 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."}