{"url":"https://nivawealth.com/firms/fogarty-wealth-management-283998","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/283998","regulatoryAum":135261486,"crd":"283998","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4341136","suffix":null,"lastName":"FOGARTY","firstName":"FREDERICK","middleName":"CHARLES"}],"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":"2025-03-11","regulatoryAum":119497608,"clients":147,"employees":1,"offices":2},{"filedOn":"2026-03-06","regulatoryAum":135261486,"clients":150,"employees":1,"offices":2}],"secFileNumber":"801-131064","legalName":"Fogarty Wealth Management, Inc.","displayName":"Fogarty Wealth Management","slug":"fogarty-wealth-management-283998","website":"https://fogartywm.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Texas corporation","fiscalYearEnd":"December","headquarters":{"street":"4501 Cartwright Road,, Suite 101","city":"Missouri City","state":"TX","stateName":"Texas","country":"United States","postalCode":"77459"},"tradeNames":[],"registration":{"secApproved":"9 September 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":875231.0342465753,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":135261486,"discretionary":135261486,"discretionaryAccounts":339,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":86,"regulatoryAum":24796656},{"label":"High-net-worth individuals","clients":60,"regulatoryAum":102987075},{"label":"Corporations and other businesses","clients":4,"regulatoryAum":7477755}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015488","versionId":1015488,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-06","documentName":"ADV2A&2B SEC","fee_rate_low":0.5,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"ERISA Plan Services","summary":"Annual fee of up to 1% of the included plan assets, negotiable; a flat fee may be charged instead.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015488","versionId":1015488,"submittedOn":"2026-03-06","documentName":"ADV2A&2B SEC"},{"role":"other","program":"Financial Planning and Consulting","summary":"Negotiable fixed fee of $1,000 to $10,000, or an hourly rate of $350; one half is paid at the start of the planning process.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015488","versionId":1015488,"submittedOn":"2026-03-06","documentName":"ADV2A&2B SEC"},{"role":"other","program":"Variable Annuity Management","summary":"Annual fee of up to 0.75% of assets managed, disclosed before the advisory agreement is signed; the fee may be negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015488","versionId":1015488,"submittedOn":"2026-03-06","documentName":"ADV2A&2B SEC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:28:34.94804+00:00","documents":[{"name":"ADV2A&2B SEC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015488","versionId":1015488,"submittedOn":"2026-03-06"}]},"custodians":[{"name":"Charles Schwab","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":131438359}],"custodyNote":"Fogarty Wealth Management has custody of $3.05M in client assets for 41 clients.","otherCustodians":[],"leadership":[{"name":"Frederick Fogarty","title":"President/Chief Compliance Officer","crd":"4341136"}],"ownership":[{"label":"Frederick Fogarty","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since May 2016."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":2,"addresses":[{"street":"4501 Cartwright Road,, Suite 101","city":"Missouri City","headquarters":true},{"street":"1601 W. Webster Street","city":"Houston"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"281-403-1818","stateRegisteredReps":1,"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","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":8},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":83},{"label":"Cash and cash equivalents","percent":6},{"label":"Other","percent":1,"detail":"Non-Traded Reits"}],"privateFunds":0},"sources":{"adv1FilingDate":"6 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/283998/PDF/283998.pdf","brochureDate":"6 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015488","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 Fogarty Wealth Management have?","answer":"Fogarty Wealth Management has 150 clients and manages $135 million for them, as of March 2026. They include 86 individual clients, 60 high-net-worth individuals, and 4 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Fogarty Wealth Management offer?","answer":"Fogarty Wealth Management provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","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 Fogarty Wealth Management charge?","answer":"Fogarty Wealth Management charges 0.50%–2.00% a year for its Asset Management. The fee is billed in advance and is negotiable.","source":"ADV2A&2B SEC, filed 6 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Fogarty Wealth Management use?","answer":"Fogarty Wealth Management’s separately managed account assets are held at Charles Schwab (Westlake, TX), 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 6 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Fogarty Wealth Management have?","answer":"Fogarty Wealth Management has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. 0 employees are registered representatives 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 Fogarty Wealth Management invest in?","answer":"At the end of its last fiscal year, Fogarty Wealth Management’s separately managed accounts held 83% registered funds (mutual funds, ETFs, BDCs), 8% exchange-traded equities, 6% cash and equivalents, 1% state and local bonds, 1% investment grade corporate bonds and 1% other. The 1% other category is described as: Non-Traded Reits.","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 Fogarty Wealth Management?","answer":"Fogarty Wealth Management’s direct owner is Frederick Fogarty (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 6 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Fogarty Wealth Management get paid?","answer":"Fogarty Wealth 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 Fogarty Wealth Management?","answer":"Fogarty Wealth Management’s main office is at 4501 Cartwright Road,, Suite 101, Missouri City, TX 77459. Its phone number is 281-403-1818. Its website is fogartywm.com.","source":"Form ADV Part 1A, Item 1.F, filed 6 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."}