{"url":"https://nivawealth.com/firms/investment-management-107246","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/107246","regulatoryAum":191179778,"crd":"107246","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4863466","suffix":null,"lastName":"Heimel","firstName":"Denise","middleName":"L"},{"crd":"800980","suffix":null,"lastName":"TINAGLIA","firstName":"JOHN","middleName":"GREGORY"},{"crd":"5928763","suffix":null,"lastName":"WARMAN","firstName":"KEVIN","middleName":"WILLIAM"}],"total":3,"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":"2021-03-31","regulatoryAum":132882886,"clients":159,"employees":6,"offices":2},{"filedOn":"2022-03-24","regulatoryAum":131578150,"clients":160,"employees":6,"offices":2},{"filedOn":"2023-03-07","regulatoryAum":142516569,"clients":166,"employees":6,"offices":2},{"filedOn":"2024-03-22","regulatoryAum":148978728,"clients":171,"employees":7,"offices":2},{"filedOn":"2025-03-27","regulatoryAum":169572084,"clients":182,"employees":6,"offices":2},{"filedOn":"2026-02-26","regulatoryAum":191179778,"clients":193,"employees":6,"offices":2}],"secFileNumber":"801-107457","legalName":"Investment 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BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012259","versionId":1012259,"submittedOn":"2026-02-26"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012262","versionId":1012262,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012261","versionId":1012261,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012260","versionId":1012260,"submittedOn":null}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":190761970}],"custodyNote":"Investment Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"John Tinaglia","title":"President/Chief Compliance Officer","crd":"800980"}],"ownership":[{"label":"John Tinaglia","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since January 1986."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"South Carolina","offices":1,"addresses":[{"street":"3003 Dunes West BLVD #17","city":"MT Pleasant"}]},{"state":"Virginia","offices":1,"addresses":[{"street":"1940 Electric RD","city":"Roanoke","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"540-774-8899","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":65},{"label":"Securities issued by registered investment companies or business development companies","percent":25},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"26 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/107246/PDF/107246.pdf","brochureDate":"26 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012259","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 Investment Management have?","answer":"Investment Management has 193 clients and manages $191 million for them, as of February 2026. They include 135 individual clients, 49 high-net-worth individuals, and 6 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Investment Management offer?","answer":"Investment Management provides portfolio management for individuals and small businesses and portfolio management for institutions.","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 Investment Management charge?","answer":"Investment Management charges 0.50%–1.25% a year for its Investment Management. The fee is billed in advance, is not negotiable, has a $1,250 annual minimum and requires an account of at least $100,000.","source":"INVESTMENT MANAGEMENT CORPORATION BROCHURE, filed 26 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Investment Management use?","answer":"Investment Management’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $191M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Investment Management have?","answer":"Investment Management has 3 investment adviser representatives registered with state securities authorities, out of 6 employees, and 3 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 Investment Management invest in?","answer":"At the end of its last fiscal year, Investment Management’s separately managed accounts held 65% exchange-traded equities, 25% registered funds (mutual funds, ETFs, BDCs) and 10% 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":"Does Investment Management have a minimum investment?","answer":"Yes, Investment Management’s minimum account size for its Investment Management is $100K. It charges a $1.25K annual minimum fee.","source":"INVESTMENT MANAGEMENT CORPORATION BROCHURE, filed 26 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Investment Management?","answer":"Investment Management’s direct owner is John Tinaglia (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 26 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Investment Management get paid?","answer":"Investment Management 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 Investment Management?","answer":"Investment Management’s main office is at 1940 Electric RD, Roanoke, VA 24018-1621. Its phone number is 540-774-8899. Its website is investmentmanagementcorp.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 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."}