{"url":"https://nivawealth.com/firms/guerra-pan-advisors-313489","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/313489","regulatoryAum":210424169,"crd":"313489","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4419498","suffix":null,"lastName":"GUERRA","firstName":"ROBERT","middleName":"Thomas"}],"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":"2021-06-07","regulatoryAum":0,"clients":0,"employees":2,"offices":1},{"filedOn":"2022-05-03","regulatoryAum":126540554,"clients":72,"employees":2,"offices":2},{"filedOn":"2023-03-20","regulatoryAum":125435906,"clients":79,"employees":2,"offices":2},{"filedOn":"2024-03-05","regulatoryAum":158791242,"clients":85,"employees":2,"offices":2},{"filedOn":"2025-03-10","regulatoryAum":183138667,"clients":86,"employees":1,"offices":1},{"filedOn":"2026-02-10","regulatoryAum":210424169,"clients":85,"employees":2,"offices":1}],"secFileNumber":"801-120767","legalName":"Guerra 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SUPPLEMENTS","fee_rate_low":0.5,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:57:14.40568+00:00","documents":[{"name":"GUERRA PAN DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1007920","versionId":1007920,"submittedOn":"2026-02-10"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":210424169}],"custodyNote":"Guerra Pan Advisors has custody of $25.9M in client assets for 73 clients.","leadership":[{"name":"Robert Guerra","title":"Managing Member and Chief Compliance Officer","crd":"4419498"}],"ownership":[{"label":"Robert Guerra","detail":"Managing member and chief compliance officer in the 75% or more ownership band and a control person, since March 2021."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"brochureServices":["education planning","insurance","philanthropic planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"917-599-9596","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":63},{"label":"Securities issued by registered investment companies or business development companies","percent":24},{"label":"Cash and cash equivalents","percent":13}],"privateFunds":0},"sources":{"adv1FilingDate":"10 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/313489/PDF/313489.pdf","brochureDate":"10 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1007920","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 Guerra Pan Advisors have?","answer":"Guerra Pan Advisors has 85 clients and manages $210 million for them, as of February 2026. They include 48 high-net-worth individuals and 37 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Guerra Pan Advisors offer?","answer":"Guerra Pan Advisors provides financial planning, portfolio management for individuals and small businesses, education planning, insurance, and philanthropic planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Guerra Pan Advisors charge?","answer":"Guerra Pan Advisors charges 0.50%–1.25% a year for its Wealth management. The fee is billed in arrears and is negotiable.","source":"GUERRA PAN DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS, filed 10 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Guerra Pan Advisors use?","answer":"Guerra Pan Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $210M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Guerra Pan Advisors have?","answer":"Guerra Pan Advisors has 1 investment adviser representative registered with state securities authorities, out of 2 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 Guerra Pan Advisors invest in?","answer":"At the end of its last fiscal year, Guerra Pan Advisors’ separately managed accounts held 63% exchange-traded equities, 24% registered funds (mutual funds, ETFs, BDCs) and 13% 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":"Who owns Guerra Pan Advisors?","answer":"Guerra Pan Advisors’ direct owner is Robert Guerra (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Guerra Pan Advisors get paid?","answer":"Guerra Pan 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":"Is Guerra Pan Advisors registered with the SEC?","answer":"Yes, Guerra Pan Advisors has been registered with the SEC as an investment adviser since 14 April 2021. Its CRD number is 313489 and its SEC file number is 801-120767.","source":"Form ADV Part 1A, Item 1, filed 10 February 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Guerra Pan Advisors?","answer":"Its phone number is 917-599-9596. Its website is guerrapanadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 10 February 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."}