{"url":"https://nivawealth.com/firms/hoffman-alan-nathan-109454","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/109454","regulatoryAum":187885039,"crd":"109454","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2616886","suffix":null,"lastName":"HOFFMAN","firstName":"ALAN","middleName":"NATHAN"}],"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":"2021-05-06","regulatoryAum":163748821,"clients":87,"employees":1,"offices":1},{"filedOn":"2022-01-18","regulatoryAum":204400000,"clients":95,"employees":1,"offices":1},{"filedOn":"2023-01-31","regulatoryAum":136812312,"clients":84,"employees":1,"offices":1},{"filedOn":"2024-01-12","regulatoryAum":184193130,"clients":80,"employees":1,"offices":1},{"filedOn":"2025-01-24","regulatoryAum":226837115,"clients":88,"employees":1,"offices":1},{"filedOn":"2026-09-14","regulatoryAum":187885039,"clients":75,"employees":1,"offices":1}],"secFileNumber":"801-118227","legalName":"Hoffman Alan Nathan","displayName":"Hoffman Alan Nathan","slug":"hoffman-alan-nathan-109454","website":"https://anhinvest.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Massachusetts sole proprietorship","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"16 March 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2505133.8533333335,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":187885039,"discretionary":187885039,"discretionaryAccounts":129,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":35,"regulatoryAum":14100905},{"label":"High-net-worth individuals","clients":40,"regulatoryAum":173784134}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057710","versionId":1057710,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-09-14","documentName":"FORM ADV2A/2B","fee_rate_low":1.5,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":200000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:03:25.510539+00:00","documents":[{"name":"FORM ADV2A/2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057710","versionId":1057710,"submittedOn":"2026-09-14"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":187885039}],"custodyNote":"Hoffman Alan Nathan does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Alan Hoffman","title":"Owner/Investment Advisor Representative/Chief Compliance Officer","crd":"2616886"}],"ownership":[{"label":"Alan Hoffman","detail":"Owner/investment advisor representative/chief compliance officer in the 75% or more ownership band and a control person, since July 1994."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"617-308-5087","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":91},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":5},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"14 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/109454/PDF/109454.pdf","brochureDate":"14 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057710","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 Hoffman Alan Nathan have?","answer":"Hoffman Alan Nathan has 75 clients and manages $188 million for them, as of September 2026. They include 40 high-net-worth individuals and 35 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 14 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Hoffman Alan Nathan offer?","answer":"Hoffman Alan Nathan 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 Hoffman Alan Nathan charge?","answer":"Hoffman Alan Nathan charges 1.50% a year for its Asset Management. The fee is billed in arrears, is negotiable and requires an account of at least $200,000.","source":"FORM ADV2A/2B, filed 14 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Hoffman Alan Nathan use?","answer":"Hoffman Alan Nathan’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $188M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 14 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Hoffman Alan Nathan have?","answer":"Hoffman Alan Nathan has 1 investment adviser representative registered with state securities authorities, out of 1 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 Hoffman Alan Nathan invest in?","answer":"At the end of its last fiscal year, Hoffman Alan Nathan’s separately managed accounts held 91% exchange-traded equities, 5% registered funds (mutual funds, ETFs, BDCs), 3% cash and equivalents and 1% U.S. government and agency bonds.","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 Hoffman Alan Nathan have a minimum investment?","answer":"Yes, Hoffman Alan Nathan’s minimum account size for its Asset Management is $200K.","source":"FORM ADV2A/2B, filed 14 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Hoffman Alan Nathan?","answer":"Hoffman Alan Nathan’s direct owner is Alan Hoffman (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 14 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Hoffman Alan Nathan get paid?","answer":"Hoffman Alan Nathan 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":"How do I contact Hoffman Alan Nathan?","answer":"Its phone number is 617-308-5087. Its website is anhinvest.com.","source":"Form ADV Part 1A, Item 1.F, filed 14 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."}