{"url":"https://nivawealth.com/firms/john-a-wolfe-and-associates-110799","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/110799","regulatoryAum":560663000,"crd":"110799","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1218558","suffix":null,"lastName":"WOLFE","firstName":"JOHN","middleName":"ANTHONY"}],"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":"2021-02-19","regulatoryAum":524912000,"clients":577,"employees":4,"offices":1},{"filedOn":"2022-02-03","regulatoryAum":556811000,"clients":568,"employees":4,"offices":1},{"filedOn":"2023-04-17","regulatoryAum":467702000,"clients":533,"employees":4,"offices":1},{"filedOn":"2024-01-30","regulatoryAum":498417000,"clients":497,"employees":3,"offices":1},{"filedOn":"2025-02-19","regulatoryAum":534664000,"clients":479,"employees":3,"offices":1},{"filedOn":"2026-09-01","regulatoryAum":560663000,"clients":450,"employees":3,"offices":2}],"secFileNumber":"801-36076","legalName":"John A. 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Wolfe & Associates have?","answer":"John A. Wolfe & Associates has 450 clients and manages $561 million for them, as of September 2026. They include 271 individual clients, 175 high-net-worth individuals, and 4 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 1 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does John A. Wolfe & Associates offer?","answer":"John A. Wolfe & Associates 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 John A. Wolfe & Associates charge?","answer":"John A. Wolfe & Associates charges 0.15%–0.75% a year for its Asset Management Services. The fee is billed in arrears and is negotiable.","source":"JOHN A. WOLFE & ASSOCIATES FORM ADV 2A BROCHURE JANUARY 14 2026, filed 14 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does John A. Wolfe & Associates use?","answer":"John A. Wolfe & Associates’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $561M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does John A. Wolfe & Associates have?","answer":"John A. Wolfe & Associates has 1 investment adviser representative registered with state securities authorities, out of 3 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 John A. Wolfe & Associates invest in?","answer":"At the end of its last fiscal year, John A. Wolfe & Associates’ separately managed accounts held 50% registered funds (mutual funds, ETFs, BDCs), 31% exchange-traded equities, 9% cash and equivalents, 7% U.S. government and agency bonds and 6% other. The 6% other category is described as: Other: Gse-Amounts to Approximately 1/10 of 1% of the Adviser'S Managed Assets. the Other Assets Listed Above at 6% Are Included for Full Disclosure But Account for Less Than 1% of Total Assets.","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 John A. Wolfe & Associates?","answer":"John A. Wolfe & Associates’ direct owner is John Wolfe (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 1 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does John A. Wolfe & Associates get paid?","answer":"John A. Wolfe & Associates 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":"Is John A. Wolfe & Associates registered with the SEC?","answer":"Yes, John A. Wolfe & Associates has been registered with the SEC as an investment adviser since 16 March 1990. Its CRD number is 110799 and its SEC file number is 801-36076.","source":"Form ADV Part 1A, Item 1, filed 1 September 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact John A. Wolfe & Associates?","answer":"John A. Wolfe & Associates’ main office is at 440 West Centre Avenue, Suite 4, Portage, MI 49024-5357. Its phone number is 269-324-1988.","source":"Form ADV Part 1A, Item 1.F, filed 1 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/john-a-wolfe-and-associates-110799/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-30","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2118722/000211872226000007/0002118722-26-000007-index.html","totalValue":72598087,"positionCount":42,"top10Share":0.8020713410809296,"top10":[{"issuer":"PIMCO ETF TR SHTRM MUN BD ACT","titleOfClass":"ETF","cusip":"72201R874","value":20373987,"shares":403445,"shareType":"SH","priorValue":18276947,"priorShares":362278},{"issuer":"J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM","titleOfClass":"ETF","cusip":"46641Q332","value":13217650,"shares":234023,"shareType":"SH","priorValue":11755890,"priorShares":207408},{"issuer":"VANGUARD WHITEHALL FDS INTL HIGH 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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."}