{"url":"https://nivawealth.com/firms/hughes-warren-145570","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/145570","regulatoryAum":220544521,"crd":"145570","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4564055","suffix":null,"lastName":"HUGHES","firstName":"THEODORE","middleName":"JOHN"},{"crd":"4564050","suffix":null,"lastName":"WARREN","firstName":"MELINDA","middleName":null}],"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"},"history":[{"filedOn":"2021-02-26","regulatoryAum":137505638,"clients":289,"employees":5,"offices":1},{"filedOn":"2022-02-22","regulatoryAum":163638189,"clients":310,"employees":5,"offices":1},{"filedOn":"2023-07-14","regulatoryAum":131360826,"clients":321,"employees":5,"offices":1},{"filedOn":"2024-04-16","regulatoryAum":159373083,"clients":345,"employees":6,"offices":1},{"filedOn":"2025-04-11","regulatoryAum":185440000,"clients":331,"employees":6,"offices":1},{"filedOn":"2026-02-20","regulatoryAum":220544521,"clients":808,"employees":6,"offices":1}],"secFileNumber":"801-113240","legalName":"Hughes Warren, Inc.","displayName":"Hughes Warren","slug":"hughes-warren-145570","website":"https://hugheswarren.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/hughes-warren-inc./","founded":null,"organization":"Oklahoma corporation","fiscalYearEnd":"December","headquarters":{"street":"16350 Muirfield Place","city":"Edmond","state":"OK","stateName":"Oklahoma","country":"United States","postalCode":"73013"},"tradeNames":[],"registration":{"secApproved":"22 May 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":272951.13985148515,"staff":{"employees":6,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":220544521,"discretionary":220544521,"discretionaryAccounts":808,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":761,"regulatoryAum":141288886},{"label":"High-net-worth individuals","clients":47,"regulatoryAum":79255635}],"feePrograms":[{"role":"other","program":"Hourly financial planning and consulting","summary":"Planning-only clients are charged $150 or $250 an hour, depending on the services provided.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010612","versionId":1010612,"submittedOn":"2026-02-20","documentName":"HUGHES WARREN, INC. ADV BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:39:36.265381+00:00","documents":[{"name":"HUGHES WARREN, INC. ADV BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010612","versionId":1010612,"submittedOn":"2026-02-20"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":220544521}],"custodyNote":"Hughes Warren has custody of $221M in client assets for 335 clients.","otherCustodians":[],"leadership":[{"name":"Theodore Hughes","title":"President","crd":"4564055"},{"name":"Victoria Jones","title":"Chief Compliance Officer/Vice President","crd":"8187156"},{"name":"Melinda Warren","title":"Co-Founder","crd":"4564050"}],"ownership":[{"label":"Theodore Hughes","detail":"President in the 75% or more ownership band and a control person, since October 2007."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Oklahoma","offices":1,"addresses":[{"street":"16350 Muirfield Place","city":"Edmond","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"405-418-4080","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":97},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"20 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/145570/PDF/145570.pdf","brochureDate":"20 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010612","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 Hughes Warren have?","answer":"Hughes Warren has 808 clients and manages $221 million for them, as of February 2026. They include 761 individual clients and 47 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Hughes Warren offer?","answer":"Hughes Warren provides financial planning, portfolio management for individuals and small businesses, selecting other managers, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Hughes Warren use?","answer":"Hughes Warren’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $221M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Hughes Warren have?","answer":"Hughes Warren has 2 investment adviser representatives registered with state securities authorities, out of 6 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 Hughes Warren invest in?","answer":"At the end of its last fiscal year, Hughes Warren’s separately managed accounts held 97% registered funds (mutual funds, ETFs, BDCs), 2% cash and equivalents and 1% exchange-traded equities.","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 Hughes Warren?","answer":"Hughes Warren’s direct owner is Theodore Hughes (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 20 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Hughes Warren get paid?","answer":"Hughes Warren 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 Hughes Warren?","answer":"Hughes Warren’s main office is at 16350 Muirfield Place, Edmond, OK 73013. Its phone number is 405-418-4080. Its website is hugheswarren.com.","source":"Form ADV Part 1A, Item 1.F, filed 20 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."}