{"url":"https://nivawealth.com/firms/four-quadrant-wealth-advisors-130753","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/130753","regulatoryAum":219022260,"crd":"130753","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4916277","suffix":null,"lastName":"Bates","firstName":"Matthew","middleName":"Dwayne"},{"crd":"4790947","suffix":null,"lastName":"BAXTER","firstName":"BROGAN","middleName":"D"},{"crd":"7258446","suffix":null,"lastName":"Chrisman","firstName":"William","middleName":"Gregory"},{"crd":"6237897","suffix":null,"lastName":"Fawcett","firstName":"Bryan","middleName":null},{"crd":"8264700","suffix":null,"lastName":"Koon","firstName":"Joel","middleName":"Kristopher"},{"crd":"7100521","suffix":null,"lastName":"Owen","firstName":"Kal","middleName":null},{"crd":"4961703","suffix":null,"lastName":"PHILLIPS","firstName":"STACY","middleName":"ALAN"},{"crd":"3180180","suffix":null,"lastName":"SMITH","firstName":"JASON","middleName":"RYAN"}],"total":8,"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":"2022-06-01","regulatoryAum":125202577,"clients":90,"employees":10,"offices":1},{"filedOn":"2023-02-10","regulatoryAum":126068690,"clients":96,"employees":17,"offices":1},{"filedOn":"2024-05-15","regulatoryAum":134925585,"clients":98,"employees":25,"offices":1},{"filedOn":"2025-03-17","regulatoryAum":171842155,"clients":97,"employees":34,"offices":1},{"filedOn":"2026-02-18","regulatoryAum":219022260,"clients":100,"employees":34,"offices":1}],"secFileNumber":"801-126014","legalName":"Four Quadrant Wealth Advisors, Inc.","displayName":"Four Quadrant Wealth Advisors","slug":"four-quadrant-wealth-advisors-130753","website":"https://fourquadrantsadvisory.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/four-quadrants-advisory/","xUrl":"https://x.com/four_quadrants","founded":"2004","organization":"Indiana corporation","fiscalYearEnd":"December","headquarters":{"street":"11939 N Meridian St, Ste 225","city":"Carmel","state":"IN","stateName":"Indiana","country":"United States","postalCode":"46032"},"tradeNames":["Four Quadrant Advisory","Four Quadrant Advisory Companies","Four Quadrant Wealth Advisors","Four Quadrants"],"registration":{"secApproved":"1 July 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2190222.6,"staff":{"employees":34,"advisory":6,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":219022260,"discretionary":219022260,"discretionaryAccounts":552,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":38,"regulatoryAum":14526076},{"label":"High-net-worth individuals","clients":62,"regulatoryAum":204496184}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009717","versionId":1009717,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-02-18","documentName":"FOUR QUADRANT WEALTH ADVISORS, INC. ADV BROCHURE","fee_rate_low":1.5,"fee_rate_high":2,"fee_negotiable":false,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning","summary":"Fixed planning fees generally range from $8,000 to $30,000; an initial consultation of $2,500 to $5,000 adjusts the first-year fee; business-entity planning ranges from $2,000 to $35,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009717","versionId":1009717,"submittedOn":"2026-02-18","documentName":"FOUR QUADRANT WEALTH ADVISORS, INC. ADV BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:05:14.902701+00:00","documents":[{"name":"FOUR QUADRANT WEALTH ADVISORS, INC. ADV BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009717","versionId":1009717,"submittedOn":"2026-02-18"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"San Francisco, CA","smaAssets":219022260}],"custodyNote":"Four Quadrant Wealth Advisors has custody of $219M in client assets for 100 clients.","leadership":[{"name":"Jason Smith","title":"President","crd":"3180180"},{"name":"Brogan Baxter","title":"Chief Operating Officer & Chief Compliance Officer","crd":"4790947"}],"ownership":[{"label":"Jason Smith","detail":"President in the 75% or more ownership band and a control person, since March 2004."},{"label":"Brogan Baxter","detail":"Chief operating officer & chief compliance officer in the 5% to 10% ownership band and a control person, since August 2014."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Indiana","offices":1,"addresses":[{"street":"11939 N Meridian St, Ste 225","city":"Carmel","headquarters":true}]}],"brochureServices":["business succession planning","estate planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"877-441-5144","stateRegisteredReps":6,"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":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":84},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":12},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"18 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/130753/PDF/130753.pdf","brochureDate":"18 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009717","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 Four Quadrant Wealth Advisors have?","answer":"Four Quadrant Wealth Advisors has 100 clients and manages $219 million for them, as of February 2026. They include 62 high-net-worth individuals and 38 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Four Quadrant Wealth Advisors offer?","answer":"Four Quadrant Wealth Advisors provides financial planning, portfolio management for individuals and small businesses, business succession planning, and estate planning.","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 Four Quadrant Wealth Advisors charge?","answer":"Four Quadrant Wealth Advisors charges 1.50%–2.00% a year for its Portfolio Management Services. The fee is billed in arrears and is not negotiable.","source":"FOUR QUADRANT WEALTH ADVISORS, INC. ADV BROCHURE, filed 18 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Four Quadrant Wealth Advisors use?","answer":"Four Quadrant Wealth Advisors’ separately managed account assets are held at Fidelity Brokerage Services LLC (San Francisco, CA), with $219M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Four Quadrant Wealth Advisors have?","answer":"Four Quadrant Wealth Advisors has 6 investment adviser representatives registered with state securities authorities, out of 34 employees, and 6 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are 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 Four Quadrant Wealth Advisors invest in?","answer":"At the end of its last fiscal year, Four Quadrant Wealth Advisors’ separately managed accounts held 84% exchange-traded equities, 12% registered funds (mutual funds, ETFs, BDCs), 3% 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 Four Quadrant Wealth Advisors?","answer":"Four Quadrant Wealth Advisors’ direct owners are Jason Smith (75% or more) and Brogan Baxter (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 18 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Four Quadrant Wealth Advisors get paid?","answer":"Four Quadrant Wealth Advisors 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":"Is Four Quadrant Wealth Advisors registered with the SEC?","answer":"Yes, Four Quadrant Wealth Advisors has been registered with the SEC as an investment adviser since 1 July 2022. Its CRD number is 130753 and its SEC file number is 801-126014.","source":"Form ADV Part 1A, Item 1, filed 18 February 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Four Quadrant Wealth Advisors?","answer":"Four Quadrant Wealth Advisors’ main office is at 11939 N Meridian St, Ste 225, Carmel, IN 46032. Its phone number is 877-441-5144. Its website is fourquadrantsadvisory.com.","source":"Form ADV Part 1A, Item 1.F, filed 18 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."}