{"url":"https://nivawealth.com/firms/j-p-king-advisors-112109","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/112109","regulatoryAum":889700000,"crd":"112109","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4217330","suffix":null,"lastName":"DODSON","firstName":"JUSTIN","middleName":"WILLIAM"},{"crd":"7027517","suffix":null,"lastName":"Gonzalez","firstName":"Jonathan","middleName":null},{"crd":"2666018","suffix":null,"lastName":"HORTON","firstName":"SCOTT","middleName":"NICOLAS"},{"crd":"4944529","suffix":null,"lastName":"SCHAFER","firstName":"JESSICA","middleName":"LEE"},{"crd":"2999033","suffix":null,"lastName":"VILLING","firstName":"DOUGLAS","middleName":"R"}],"total":5,"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":"2021-02-09","regulatoryAum":575970684,"clients":362,"employees":9,"offices":1},{"filedOn":"2022-03-16","regulatoryAum":665000000,"clients":398,"employees":7,"offices":1},{"filedOn":"2023-03-28","regulatoryAum":575900000,"clients":418,"employees":7,"offices":1},{"filedOn":"2024-03-20","regulatoryAum":654200000,"clients":433,"employees":7,"offices":1},{"filedOn":"2025-03-27","regulatoryAum":743700000,"clients":429,"employees":7,"offices":1},{"filedOn":"2026-03-25","regulatoryAum":889700000,"clients":452,"employees":7,"offices":1}],"secFileNumber":"801-60296","legalName":"J.P. 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King Advisors has custody of $663M for 457 clients.","otherCustodians":[],"leadership":[{"name":"Scott Horton","title":"President, CEO, and CIO","crd":"2666018"},{"name":"Justin Dodson","title":"Principal, CCO, and COO","crd":"4217330"},{"name":"Jessica Schafer","title":"Principal","crd":"4944529"}],"ownership":[{"label":"Scott Horton","detail":"President, ceo, and cio in the 50% to 75% ownership band and a control person, since December 2011."},{"label":"Justin Dodson","detail":"Principal, cco, and coo in the 25% to 50% ownership band and a control person, since January 2017."},{"label":"Jessica Schafer","detail":"Principal in the 10% to 25% ownership band, since January 2020."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"1600 South Main Street, Suite 275","city":"Walnut Creek","headquarters":true}]}],"brochureServices":["estate planning","insurance","philanthropic planning","retirement plan services","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"925-935-1555","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Educational seminars/workshops"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":51},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":45},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"25 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/112109/PDF/112109.pdf","brochureDate":"25 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026257","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 J.P. King Advisors have?","answer":"J.P. King Advisors has 452 clients and manages $890 million for them, as of March 2026. They include 274 individual clients, 174 high-net-worth individuals, and 4 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does J.P. King Advisors offer?","answer":"J.P. King Advisors provides financial planning, portfolio management for individuals and small businesses, educational seminars, estate planning, insurance, philanthropic planning, retirement plan services, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does J.P. King Advisors charge?","answer":"J.P. King Advisors charges 0.30%–0.75% a year for its Investment Advisory Service. Each asset band is charged at its own rate. The fee is billed in arrears.","source":"FORM ADV PART 2A BROCHURE, filed 25 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does J.P. King Advisors use?","answer":"J.P. King Advisors’ separately managed account assets are held at National Financial Services LLC (Boston, MA), with $581M, Charles Schwab & Co., Inc. (San Francisco, CA), with $291M and Capital Client Group, Inc. (Los Angeles, CA), with $9.09M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does J.P. King Advisors have?","answer":"J.P. King Advisors has 5 investment adviser representatives registered with state securities authorities, out of 7 employees, and 5 perform investment advisory functions. 0 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 J.P. King Advisors invest in?","answer":"At the end of its last fiscal year, J.P. King Advisors’ separately managed accounts held 51% exchange-traded equities, 45% registered funds (mutual funds, ETFs, BDCs), 2% cash and equivalents, 1% state and local bonds and 1% investment grade corporate 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":"Who owns J.P. King Advisors?","answer":"J.P. King Advisors’ direct owners are Scott Horton (50% to 75%), Justin Dodson (25% to 50%) and Jessica Schafer (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does J.P. King Advisors get paid?","answer":"J.P. King Advisors is paid through a percentage of assets under management 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 J.P. King Advisors?","answer":"J.P. King Advisors’ main office is at 1600 South Main Street, Suite 275, Walnut Creek, CA 94596-8810. Its phone number is 925-935-1555. Its website is jpkingadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 25 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."}