{"url":"https://nivawealth.com/firms/hanover-square-wealth-advisors-336534","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/336534","regulatoryAum":101600000,"crd":"336534","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4152631","suffix":null,"lastName":"FREDERE","firstName":"LORETTA","middleName":"L."},{"crd":"2669463","suffix":null,"lastName":"FROSH","firstName":"DEREK","middleName":"GEOFFREY"},{"crd":"6747939","suffix":null,"lastName":"JEWETT","firstName":"BROOKS","middleName":"Lucien 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plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053020","versionId":1053020,"submittedOn":"2026-07-28","documentName":"FORM ADV PART 2A DISCLOSURE BROCHURE"},{"role":"other","program":"Investment Consulting","summary":"Annual retainer generally $500 to $10,000, paid quarterly in arrears and prorated for partial quarters.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053020","versionId":1053020,"submittedOn":"2026-07-28","documentName":"FORM ADV PART 2A DISCLOSURE BROCHURE"},{"role":"other","program":"Retirement Plan Services","summary":"Asset-based or flat fee for retirement plan investment consulting, negotiated with the plan sponsor and billed quarterly in arrears.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053020","versionId":1053020,"submittedOn":"2026-07-28","documentName":"FORM ADV PART 2A DISCLOSURE BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T18:03:43.759172+00:00","documents":[{"name":"FORM ADV PART 2A DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053020","versionId":1053020,"submittedOn":"2026-07-28"}]},"custodians":[],"custodyNote":"Hanover Square Wealth Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Derek Frosh","title":"Managing Member and Chief Compliance Officer","crd":"2669463"}],"ownership":[{"label":"Derek Frosh","detail":"Managing member and chief compliance officer in the 75% or more ownership band and a control person, since April 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":1,"addresses":[{"street":"480 N. Patterson Avenue","city":"Winston-Salem"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"336-444-2680","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":69},{"label":"Securities issued by registered investment companies or business development companies","percent":20},{"label":"Cash and cash equivalents","percent":11}],"privateFunds":0},"sources":{"adv1FilingDate":"31 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/336534/PDF/336534.pdf","brochureDate":"28 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053020","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 Hanover Square Wealth Advisors have?","answer":"Hanover Square Wealth Advisors has 98 clients and manages $102 million for them, as of July 2026. They include 50 high-net-worth individuals, 45 individual clients and 1 pension or profit-sharing plan.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Hanover Square Wealth Advisors offer?","answer":"Hanover Square Wealth Advisors provides financial planning, 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 many financial advisors does Hanover Square Wealth Advisors have?","answer":"Hanover Square Wealth Advisors has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 perform investment advisory functions. 0 employees are registered representatives 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 Hanover Square Wealth Advisors invest in?","answer":"At the end of its last fiscal year, Hanover Square Wealth Advisors’ separately managed accounts held 69% exchange-traded equities, 20% registered funds (mutual funds, ETFs, BDCs) and 11% 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 Hanover Square Wealth Advisors?","answer":"Hanover Square Wealth Advisors’ direct owner is Derek Frosh (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Hanover Square Wealth Advisors get paid?","answer":"Hanover Square Wealth Advisors is paid through a percentage of assets under management, hourly charges and fixed fees. 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 Hanover Square Wealth Advisors?","answer":"Its phone number is 336-444-2680. Its website is hanoversquarewa.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 July 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."}