{"url":"https://nivawealth.com/firms/genereux-investment-management-117436","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/117436","regulatoryAum":129305177,"crd":"117436","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1814740","suffix":null,"lastName":"GENEREUX","firstName":"MARK","middleName":"ALAN"}],"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":"2021-01-29","regulatoryAum":112895361,"clients":84,"employees":1,"offices":1},{"filedOn":"2022-03-07","regulatoryAum":130253479,"clients":87,"employees":1,"offices":1},{"filedOn":"2023-06-30","regulatoryAum":118674381,"clients":82,"employees":1,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":121894320,"clients":84,"employees":1,"offices":1},{"filedOn":"2025-02-26","regulatoryAum":145866917,"clients":74,"employees":1,"offices":1},{"filedOn":"2026-06-29","regulatoryAum":129305177,"clients":77,"employees":1,"offices":1}],"secFileNumber":"801-112129","legalName":"Genereux 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HNW)","clients":22,"regulatoryAum":11933699},{"label":"High-net-worth individuals","clients":54,"regulatoryAum":116485055},{"label":"Charitable organizations","clients":1,"regulatoryAum":886423}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049882","versionId":1049882,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-06-29","documentName":"GENEREUX INVESTMENT MANAGEMENT ADV PART 2A FIRM BROCHURE","fee_rate_low":1,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":1000000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:25:20.102998+00:00","documents":[{"name":"GENEREUX INVESTMENT MANAGEMENT ADV PART 2A FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049882","versionId":1049882,"submittedOn":"2026-06-29"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":129305177}],"custodyNote":"Genereux Investment Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Mark Genereux","title":"President and Chief Compliance Officer","crd":"1814740"}],"ownership":[{"label":"Mark Genereux","detail":"President and chief compliance officer in the 75% or more ownership band and a control person, since January 2005."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"712-256-7500","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":8},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":87},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"29 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/117436/PDF/117436.pdf","brochureDate":"29 June 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They include 54 high-net-worth individuals, 22 individual clients and 1 charitable organization.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 29 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Genereux Investment Management offer?","answer":"Genereux Investment Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.","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 Genereux Investment Management charge?","answer":"Genereux Investment Management charges 1.00% a year for its Investment Management Services. The fee is billed in arrears, is negotiable and requires an account of at least $1,000,000.","source":"GENEREUX INVESTMENT MANAGEMENT ADV PART 2A FIRM BROCHURE, filed 29 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Genereux Investment Management use?","answer":"Genereux Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $129M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Genereux Investment Management have?","answer":"Genereux Investment Management has 1 investment adviser representative 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 Genereux Investment Management invest in?","answer":"At the end of its last fiscal year, Genereux Investment Management’s separately managed accounts held 87% registered funds (mutual funds, ETFs, BDCs), 8% exchange-traded equities, 2% U.S. government and agency bonds, 2% cash and equivalents and 1% state and local 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":"Does Genereux Investment Management have a minimum investment?","answer":"Yes, Genereux Investment Management’s minimum account size for its Investment Management Services is $1M.","source":"GENEREUX INVESTMENT MANAGEMENT ADV PART 2A FIRM BROCHURE, filed 29 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Genereux Investment Management?","answer":"Genereux Investment Management’s direct owner is Mark Genereux (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 29 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Genereux Investment Management get paid?","answer":"Genereux Investment 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 Genereux Investment Management?","answer":"Its phone number is 712-256-7500.","source":"Form ADV Part 1A, Item 1.F, filed 29 June 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."}