{"url":"https://nivawealth.com/firms/greg-jennings-341031","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/341031","regulatoryAum":183051483,"crd":"341031","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7689738","suffix":null,"lastName":"Jennings","firstName":"Brian","middleName":"Andrew"},{"crd":"2169365","suffix":null,"lastName":"JENNINGS","firstName":"GREGORY","middleName":"WELLES"}],"total":2,"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":"801-135731","legalName":"Greg Jennings, LLC","displayName":"Greg Jennings","slug":"greg-jennings-341031","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"5789 Widewaters Parkway","city":"Dewitt","state":"NY","stateName":"New York","country":"United States","postalCode":"13214"},"tradeNames":[],"registration":{"secApproved":"1 April 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1089592.1607142857,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":183051483,"discretionary":183051483,"discretionaryAccounts":453,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":106,"regulatoryAum":43563561},{"label":"High-net-worth individuals","clients":62,"regulatoryAum":139487922}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1.25,"from":0},{"to":1000000,"pct":1,"from":500000},{"to":2000000,"pct":0.75,"from":1000000},{"to":null,"pct":0.5,"from":2000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059847","versionId":1059847,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-10-01","documentName":"FORM ADV PART 2A","fee_rate_low":0.5,"fee_rate_high":1.25,"fee_negotiable":null,"minimum_account":100000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Hourly Services","summary":"Services performed on an hourly basis are charged $250.00 per hour; hours already worked are due if the client terminates early.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059847","versionId":1059847,"submittedOn":"2026-10-01","documentName":"FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T18:16:05.515687+00:00","documents":[{"name":"FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059847","versionId":1059847,"submittedOn":"2026-10-01"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":183051483}],"custodyNote":"Greg Jennings does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"James Cullen","title":"Chief Compliance Officer","crd":"5111669"},{"name":"Gregory Jennings","title":"Managing Member","crd":"2169365"}],"ownership":[{"label":"Gregory Jennings","detail":"Managing member in the 75% or more ownership band and a control person, since February 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"5789 Widewaters Parkway","city":"Dewitt","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"315-446-8720","stateRegisteredReps":2,"otherAdviserReps":2,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":64},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":35},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"1 October 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/341031/PDF/341031.pdf","brochureDate":"1 October 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059847","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 Greg Jennings have?","answer":"Greg Jennings has 168 clients and manages $183 million for them, as of October 2026. They include 106 individual clients and 62 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 1 October 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Greg Jennings offer?","answer":"Greg Jennings provides portfolio management for individuals and small businesses.","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 Greg Jennings charge?","answer":"Greg Jennings charges 0.50%–1.25% a year for its Investment Management Services. Each asset band is charged at its own rate. The fee is billed in arrears and requires an account of at least $100,000.","source":"FORM ADV PART 2A, filed 1 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Greg Jennings use?","answer":"Greg Jennings’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $183M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 October 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Greg Jennings have?","answer":"Greg Jennings has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 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 Greg Jennings invest in?","answer":"At the end of its last fiscal year, Greg Jennings’ separately managed accounts held 64% exchange-traded equities, 35% registered funds (mutual funds, ETFs, BDCs), 1% investment grade corporate bonds and 1% cash and equivalents.","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 Greg Jennings have a minimum investment?","answer":"Yes, Greg Jennings’ minimum account size for its Investment Management Services is $100K.","source":"FORM ADV PART 2A, filed 1 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Greg Jennings?","answer":"Greg Jennings’ direct owner is Gregory Jennings (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 1 October 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Greg Jennings get paid?","answer":"Greg Jennings 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 Greg Jennings?","answer":"Greg Jennings’ main office is at 5789 Widewaters Parkway, Dewitt, NY 13214. Its phone number is 315-446-8720.","source":"Form ADV Part 1A, Item 1.F, filed 1 October 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."}