{"url":"https://nivawealth.com/firms/genesis-investment-advisors-310878","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/310878","regulatoryAum":112522622,"crd":"310878","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6691582","suffix":"Jr","lastName":"Conley","firstName":"Martin","middleName":"Franklin"},{"crd":"6390237","suffix":null,"lastName":"Dees","firstName":"James","middleName":"Hunter"},{"crd":"5654156","suffix":null,"lastName":"Hill","firstName":"Melissa","middleName":"Diane"},{"crd":"5642296","suffix":null,"lastName":"Sloan","firstName":"Michele","middleName":"Williams"}],"total":4,"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":"801-134325","legalName":"Genesis Investment Advisors, LLC","displayName":"Genesis Investment 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HNW)","clients":243,"regulatoryAum":64277584},{"label":"High-net-worth individuals","clients":19,"regulatoryAum":42490698},{"label":"Pension and profit-sharing plans","clients":3,"fewerThan5":true,"regulatoryAum":4095720},{"label":"Charitable organizations","clients":6,"regulatoryAum":1658620},{"label":"Corporations and other businesses","clients":2,"fewerThan5":true,"regulatoryAum":0}],"feePrograms":[{"role":"main","program":"Comprehensive Portfolio Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022038","versionId":1022038,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-19","documentName":"PART 2A OF FORM ADV: GENESIS INVESTMENTS FIRM BROCHURE","fee_rate_low":0.5,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Retirement Plan Consulting","summary":"Consulting billed as a percentage of managed plan assets that will not exceed 0.75%, arranged case by case.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022038","versionId":1022038,"submittedOn":"2026-03-19","documentName":"PART 2A OF FORM ADV: GENESIS INVESTMENTS FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:44:40.534087+00:00","documents":[{"name":"PART 2A OF FORM ADV: GENESIS INVESTMENTS FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022038","versionId":1022038,"submittedOn":"2026-03-19"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":110250410}],"custodyNote":"Genesis Investment Advisors has custody of $51.2M for 174 clients.","otherCustodians":[],"leadership":[{"name":"James Dees","title":"Chief Compliance Officer and Managing Member","crd":"6390237"}],"ownership":[{"label":"James Dees","detail":"Chief compliance officer and managing member in the 75% or more ownership band and a control person, since September 2020."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Tennessee","offices":1,"addresses":[{"street":"9448 Bradmore LN, Ste 212","city":"Ooltewah","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"423-290-2619","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":31},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":50},{"label":"Cash and cash equivalents","percent":18}],"privateFunds":0},"sources":{"adv1FilingDate":"19 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/310878/PDF/310878.pdf","brochureDate":"19 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022038","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 Genesis Investment Advisors have?","answer":"Genesis Investment Advisors has 273 clients and manages $113 million for them, as of March 2026. They include 243 individual clients, 19 high-net-worth individuals and 6 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Genesis Investment Advisors offer?","answer":"Genesis Investment Advisors provides 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 Genesis Investment Advisors charge?","answer":"Genesis Investment Advisors charges 0.50%–1.25% a year for its Comprehensive Portfolio Management. The fee is billed in arrears and is negotiable.","source":"PART 2A OF FORM ADV: GENESIS INVESTMENTS FIRM BROCHURE, filed 19 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Genesis Investment Advisors use?","answer":"Genesis Investment Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $110M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 19 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Genesis Investment Advisors have?","answer":"Genesis Investment Advisors has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 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 Genesis Investment Advisors invest in?","answer":"At the end of its last fiscal year, Genesis Investment Advisors’ separately managed accounts held 50% registered funds (mutual funds, ETFs, BDCs), 31% exchange-traded equities, 18% 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":"Who owns Genesis Investment Advisors?","answer":"Genesis Investment Advisors’ direct owner is James Dees (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Genesis Investment Advisors get paid?","answer":"Genesis Investment Advisors 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 Genesis Investment Advisors?","answer":"Genesis Investment Advisors’ main office is at 9448 Bradmore LN, Ste 212, Ooltewah, TN 37363. Its phone number is 423-290-2619. Its website is genesis.investments.","source":"Form ADV Part 1A, Item 1.F, filed 19 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."}