{"url":"https://nivawealth.com/firms/harold-w-dance-1582","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/1582","regulatoryAum":158000000,"crd":"1582","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7086050","suffix":null,"lastName":"Bartholomew","firstName":"Patty","middleName":"Sui"},{"crd":"8075680","suffix":null,"lastName":"ELLIS","firstName":"GARRETT","middleName":"T"},{"crd":"843840","suffix":null,"lastName":"HAUETER","firstName":"KENT","middleName":"B"},{"crd":"6001558","suffix":null,"lastName":"NEELEY","firstName":"AARON","middleName":"JAMES"},{"crd":"5556337","suffix":null,"lastName":"NEELEY","firstName":"DANIEL","middleName":"JOSEPH"},{"crd":"3235100","suffix":null,"lastName":"NEELEY","firstName":"STEPHEN","middleName":"F"},{"crd":"3110933","suffix":null,"lastName":"PETERSON","firstName":"JACK","middleName":"W"},{"crd":"7488891","suffix":null,"lastName":"Wilkinson","firstName":"KristiLyn","middleName":null}],"total":8,"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":"2024-05-10","regulatoryAum":119000000,"clients":207,"employees":7,"offices":1},{"filedOn":"2025-04-01","regulatoryAum":132000000,"clients":298,"employees":7,"offices":1},{"filedOn":"2026-08-03","regulatoryAum":158000000,"clients":306,"employees":8,"offices":1}],"secFileNumber":"801-129647","legalName":"Harold W. 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Dance","slug":"harold-w-dance-1582","website":"https://harolddance.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Utah corporation","fiscalYearEnd":"December","headquarters":{"street":"72 E Center Street","city":"Logan","state":"UT","stateName":"Utah","country":"United States","postalCode":"84321"},"tradeNames":[],"registration":{"secApproved":"19 April 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":509933.77483443706,"staff":{"employees":8,"advisory":8,"brokerDealerReps":8,"insuranceAgents":8,"promoters":0},"aum":{"regulatory":158000000,"discretionary":158000000,"discretionaryAccounts":409,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":409},"clientTypes":[{"label":"Individuals (other than HNW)","clients":281,"regulatoryAum":122000000},{"label":"High-net-worth individuals","clients":21,"regulatoryAum":32000000},{"label":"Charitable organizations","clients":4,"fewerThan5":true,"regulatoryAum":4000000}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038110","versionId":1038110,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-31","documentName":"FORM ADV PART II","fee_rate_low":0.25,"fee_rate_high":1,"fee_negotiable":null,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T11:36:39.605855+00:00","documents":[{"name":"FORM ADV PART II","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038110","versionId":1038110,"submittedOn":"2026-03-31"}]},"custodians":[],"custodyNote":"Harold W. Dance does not have custody of client assets.","leadership":[{"name":"Stephen F Neeley","title":"President; CCO; S-Corp Shareholder","crd":"3235100"},{"name":"Daniel Joseph Neeley","title":"Vice President, S-Corp Shareholder","crd":"5556337"},{"name":"Aaron James Neeley","title":"Vice President, S-Corp Shareholder","crd":"6001558"}],"ownership":[{"label":"Daniel Joseph Neeley","detail":"Vice president, s-corp shareholder in the 25% to 50% ownership band and a control person, since May 2018."},{"label":"Aaron James Neeley","detail":"Vice president, s-corp shareholder in the 25% to 50% ownership band and a control person, since May 2018."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Utah","offices":1,"addresses":[{"street":"72 E Center Street","city":"Logan","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"435-752-8484","stateRegisteredReps":8,"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"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":90},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"3 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/1582/PDF/1582.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038110","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 Harold W. Dance have?","answer":"Harold W. Dance has 306 clients and manages $158 million for them, as of August 2026. They include 281 individual clients, 21 high-net-worth individuals and 4 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 3 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Harold W. Dance offer?","answer":"Harold W. Dance provides financial planning and 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 Harold W. Dance charge?","answer":"Harold W. Dance charges 0.25%–1.00% a year for its Portfolio Management Services. The fee is billed in arrears.","source":"FORM ADV PART II, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Harold W. Dance have?","answer":"Harold W. Dance has 8 investment adviser representatives registered with state securities authorities, out of 8 employees, and 8 perform investment advisory functions. 8 employees are registered representatives of a broker-dealer and 8 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 Harold W. Dance invest in?","answer":"At the end of its last fiscal year, Harold W. Dance’s separately managed accounts held 90% registered funds (mutual funds, ETFs, BDCs), 5% exchange-traded equities and 5% 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 Harold W. Dance?","answer":"Harold W. Dance’s direct owners are Daniel Joseph Neeley and Aaron James Neeley, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 3 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Harold W. Dance get paid?","answer":"Harold W. Dance 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":"Is Harold W. Dance registered with the SEC?","answer":"Yes, Harold W. Dance has been registered with the SEC as an investment adviser since 19 April 2024. Its CRD number is 1582 and its SEC file number is 801-129647.","source":"Form ADV Part 1A, Item 1, filed 3 August 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Harold W. Dance?","answer":"Harold W. Dance’s main office is at 72 E Center Street, Logan, UT 84321. Its phone number is 435-752-8484. Its website is harolddance.com.","source":"Form ADV Part 1A, Item 1.F, filed 3 August 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."}