{"url":"https://nivawealth.com/firms/giving-tree-wealth-advisors-312361","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/312361","regulatoryAum":137997072,"crd":"312361","secFileNumber":"801-137000","legalName":"Giving Tree Wealth Advisors","displayName":"Giving Tree Wealth Advisors","slug":"giving-tree-wealth-advisors-312361","website":"https://givingtreewealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California partnership","fiscalYearEnd":"December","headquarters":{"street":"2603 Camino Ramon 200","city":"San Ramon","state":"CA","stateName":"California","country":"United States","postalCode":"94583"},"tradeNames":[],"registration":{"secApproved":"27 August 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":617485.1382488479,"staff":{"employees":2,"advisory":2,"brokerDealerReps":1,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":137997072,"discretionary":137997072,"discretionaryAccounts":225,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":170,"regulatoryAum":48731349},{"label":"High-net-worth individuals","clients":47,"regulatoryAum":85262926},{"label":"Pension and profit-sharing plans","clients":8,"regulatoryAum":4002797}],"feePrograms":[{"role":"other","program":"ERISA Plan Services","summary":"Annual fee for ERISA plan services is negotiable, with a maximum of 0.75% on $0 to $10,000,000, 0.50% on $10,000,001 to $20,000,000 and 0.25% above $20,000,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057470","versionId":1057470,"submittedOn":"2026-09-10","documentName":"ADV2A SEC"},{"role":"other","program":"Financial Planning","summary":"Planning fees are billed hourly at $400 for the time estimated to complete the plan, with a minimum of $2,000 (5 hours) for any financial plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057470","versionId":1057470,"submittedOn":"2026-09-10","documentName":"ADV2A SEC"},{"role":"other","program":"Hourly General Consultation","summary":"General consultation is offered at $400 per hour, due within 30 days of the time spent.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057470","versionId":1057470,"submittedOn":"2026-09-10","documentName":"ADV2A SEC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T16:51:43.62352+00:00","documents":[{"name":"ADV2A SEC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057470","versionId":1057470,"submittedOn":"2026-09-10"}]},"custodians":[],"custodyNote":"Giving Tree Wealth Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[],"ownership":[],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"2603 Camino Ramon 200","city":"San Ramon","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"844-434-6435","stateRegisteredReps":2,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Hourly charges"],"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)"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":27},{"label":"U.S. government/agency bonds","percent":3},{"label":"Sovereign bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":46},{"label":"Cash and cash equivalents","percent":12},{"label":"Other","percent":10,"detail":"Commodity Securities Held Through Etfs (GLD, SLV, Cper, Iau)"}],"privateFunds":0},"sources":{"adv1FilingDate":"10 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/312361/PDF/312361.pdf","brochureDate":"10 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057470","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 Giving Tree Wealth Advisors have?","answer":"Giving Tree Wealth Advisors has 225 clients and manages $138 million for them, as of September 2026. They include 170 individual clients, 47 high-net-worth individuals, and 8 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Giving Tree Wealth Advisors offer?","answer":"Giving Tree Wealth Advisors 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 many financial advisors does Giving Tree Wealth Advisors have?","answer":"Giving Tree Wealth Advisors has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 1 employee is a registered representative 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 Giving Tree Wealth Advisors invest in?","answer":"At the end of its last fiscal year, Giving Tree Wealth Advisors’ separately managed accounts held 46% registered funds (mutual funds, ETFs, BDCs), 27% exchange-traded equities, 12% cash and equivalents, 10% other, 3% U.S. government and agency bonds, 1% sovereign bonds and 1% investment grade corporate bonds. The 10% other category is described as: Commodity Securities Held Through Etfs (GLD, SLV, Cper, Iau).","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":"How does Giving Tree Wealth Advisors get paid?","answer":"Giving Tree Wealth Advisors is paid through a percentage of assets under management and hourly charges. 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 Giving Tree Wealth Advisors?","answer":"Giving Tree Wealth Advisors’ main office is at 2603 Camino Ramon 200, San Ramon, CA 94583. Its phone number is 844-434-6435. Its website is givingtreewealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 10 September 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."}