{"url":"https://nivawealth.com/firms/ia-network-319096","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/319096","regulatoryAum":199538173,"crd":"319096","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1319783","suffix":"IV","lastName":"MCNINCH","firstName":"SAMUEL","middleName":"SYLVANUS"},{"crd":"5427456","suffix":null,"lastName":"Schaff","firstName":"Robert","middleName":"David"},{"crd":"5912993","suffix":null,"lastName":"SMITH","firstName":"MAGGIE","middleName":"BARRY"},{"crd":"1450631","suffix":null,"lastName":"STOCKHAM","firstName":"CHARLES","middleName":"EDWARD"}],"total":4,"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":"2022-07-15","regulatoryAum":20251562,"clients":42,"employees":2,"offices":2},{"filedOn":"2023-03-29","regulatoryAum":129250978,"clients":191,"employees":6,"offices":4},{"filedOn":"2024-06-06","regulatoryAum":161259875,"clients":237,"employees":6,"offices":3},{"filedOn":"2025-07-16","regulatoryAum":183507741,"clients":253,"employees":6,"offices":4},{"filedOn":"2026-03-23","regulatoryAum":199538173,"clients":259,"employees":5,"offices":4}],"secFileNumber":"801-123452","legalName":"Ia 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Advisory"],"registration":{"secApproved":"15 March 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":741370.5444015444,"staff":{"employees":5,"advisory":4,"brokerDealerReps":2,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":199538173,"discretionary":199042823,"discretionaryAccounts":592,"nonDiscretionary":495350,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":197,"regulatoryAum":59377377},{"label":"High-net-worth individuals","clients":62,"regulatoryAum":132637594},{"label":"Pension and profit-sharing plans","clients":0,"fewerThan5":true,"regulatoryAum":4389150},{"label":"Charitable organizations","clients":0,"fewerThan5":true,"regulatoryAum":3054877},{"label":"Corporations and other businesses","clients":0,"fewerThan5":true,"regulatoryAum":79175}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T17:11:39.487145+00:00","documents":[{"name":"IA NETWORK ADV 2A 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023274","versionId":1023274,"submittedOn":"2026-03-23"}]},"custodians":[{"name":"SEI Investments Management Corp","shortName":"SEI Investments Management","location":"Oaks, PA","smaAssets":55114410},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":141563735}],"custodyNote":"IA Network does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Robert Schaff","title":"Managing Member & Chief Compliance Officer","crd":"5427456"}],"ownership":[{"label":"Robert Schaff","detail":"Managing member & chief compliance officer in the 75% or more ownership band and a control person, since February 2022."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":1},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":3,"addresses":[{"street":"210 N Church St, Suite 1905","city":"Charlotte","headquarters":true},{"street":"90 Aviemore Drive","city":"Pinehurst"},{"street":"301 E 9th Street","city":"Charlotte"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"704-272-1211","stateRegisteredReps":4,"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":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":42},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":42},{"label":"Cash and cash equivalents","percent":8},{"label":"Other","percent":5,"detail":"Unassigned"}],"privateFunds":0},"sources":{"adv1FilingDate":"23 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/319096/PDF/319096.pdf","brochureDate":"23 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023274","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 IA Network have?","answer":"IA Network has 259 clients and manages $200 million for them, as of March 2026. They include 197 individual clients and 62 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does IA Network offer?","answer":"IA Network 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":"Which custodians does IA Network use?","answer":"IA Network’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $142M and SEI Investments Management Corp (Oaks, PA), with $55.1M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does IA Network have?","answer":"IA Network has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 3 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 IA Network invest in?","answer":"At the end of its last fiscal year, IA Network’s separately managed accounts held 42% exchange-traded equities, 42% registered funds (mutual funds, ETFs, BDCs), 8% cash and equivalents, 5% other, 1% U.S. government and agency bonds, 1% state and local bonds, 1% investment grade corporate bonds and 1% high-yield corporate bonds. The 5% other category is described as: Unassigned.","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 IA Network?","answer":"IA Network’s direct owner is Robert Schaff (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does IA Network get paid?","answer":"IA Network 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 IA Network?","answer":"IA Network’s main office is at 210 N Church St, Suite 1905, Charlotte, NC 28202. Its phone number is 704-272-1211. Its website is ianetwork.com.","source":"Form ADV Part 1A, Item 1.F, filed 23 March 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."}