{"url":"https://nivawealth.com/firms/fullerton-advisors-148880","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/148880","regulatoryAum":120394113,"crd":"148880","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2515415","suffix":null,"lastName":"Fullerton","firstName":"Nicholas","middleName":"C"}],"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"},"secFileNumber":"801-134519","legalName":"Fullerton Advisors, LLC","displayName":"Fullerton Advisors","slug":"fullerton-advisors-148880","website":"https://fullertonadvisors.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"http://www.linkedin.com/company/fullerton-advisors/","xUrl":"https://twitter.com/fullertonfa","founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"318 Diablo Road, Suite 260","city":"Danville","state":"CA","stateName":"California","country":"United States","postalCode":"94526"},"tradeNames":[],"registration":{"secApproved":"13 November 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1723574.5217391304,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":120394113,"discretionary":120394113,"discretionaryAccounts":258,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":3},"clientTypes":[{"label":"Individuals (other than HNW)","clients":23,"regulatoryAum":18532529},{"label":"High-net-worth individuals","clients":46,"regulatoryAum":100394113},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":1054207},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":413264}],"feePrograms":[{"role":"main","program":"Investment Advisory Fees","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004419","versionId":1004419,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-01-28","documentName":"FULLERTON ADVISORS, LLC FORM ADV","fee_rate_low":null,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning","summary":"Negotiable fixed fee of $2,500 to $10,000, or a negotiable hourly rate of up to $400; 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They include 46 high-net-worth individuals, 23 individual clients and 1 charitable organization.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 January 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Fullerton Advisors offer?","answer":"Fullerton Advisors 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 Fullerton Advisors charge?","answer":"Fullerton Advisors charges up to 1.00% a year for its Investment Advisory Fees. The fee is billed in arrears and is negotiable.","source":"FULLERTON ADVISORS, LLC FORM ADV, filed 28 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Fullerton Advisors use?","answer":"Fullerton Advisors’ separately managed account assets are held at Fidelity Brokerage Services LLC (Greenwich, CT), with $117M and National Financial Services LLC (Boston, MA), with $117M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 January 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Fullerton Advisors have?","answer":"Fullerton Advisors has 0 investment adviser representatives registered with state securities authorities, out of 1 employees, and 1 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 Fullerton Advisors invest in?","answer":"At the end of its last fiscal year, Fullerton Advisors’ separately managed accounts held 91% registered funds (mutual funds, ETFs, BDCs), 8% exchange-traded equities and 1% other. The 1% other category is described as: Alternative/Crypto Holdings.","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 Fullerton Advisors?","answer":"Fullerton Advisors’ direct owner is Nicholas Fullerton (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 28 January 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Fullerton Advisors get paid?","answer":"Fullerton Advisors 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 Fullerton Advisors?","answer":"Fullerton Advisors’ main office is at 318 Diablo Road, Suite 260, Danville, CA 94526. Its phone number is 925-480-7018. Its website is fullertonadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 28 January 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/fullerton-advisors-148880/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-27","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2108355/000208585326000865/0002085853-26-000865-index.html","totalValue":106926671,"positionCount":54,"top10Share":0.6808447912869184,"top10":[{"issuer":"VANGUARD INDEX FDS","titleOfClass":"TOTAL STK MKT","cusip":"922908769","value":19982991,"shares":54002,"shareType":"SH","priorValue":16917149,"priorShares":52733},{"issuer":"VANGUARD TAX-MANAGED FDS","titleOfClass":"VAN FTSE DEV MKT","cusip":"921943858","value":10214267,"shares":143358,"shareType":"SH","priorValue":8949827,"priorShares":139666},{"issuer":"VANGUARD SPECIALIZED FUNDS","titleOfClass":"DIV APP 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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."}