{"url":"https://nivawealth.com/firms/knox-avenue-financial-289094","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/289094","regulatoryAum":144725154,"crd":"289094","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5455127","suffix":null,"lastName":"BRILL","firstName":"JOSEPH","middleName":"K"}],"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":"2025-05-12","regulatoryAum":118929883,"clients":222,"employees":1,"offices":1},{"filedOn":"2026-07-28","regulatoryAum":144725154,"clients":227,"employees":1,"offices":1}],"secFileNumber":"801-132796","legalName":"Knox Avenue Financial Corp.","displayName":"Knox Avenue Financial","slug":"knox-avenue-financial-289094","website":"https://knoxavenuefinancial.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/289094/544d0d24dfea5902-r1.webp","tone":"light","width":779,"height":200,"sourceUrl":"https://www.knoxavenuefinancial.com/","sourceLabel":"Knox Avenue Financial Corp., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Minnesota corporation","fiscalYearEnd":"December","headquarters":{"street":"380 St. Peter Street, Suite 742","city":"St. Paul","state":"MN","stateName":"Minnesota","country":"United States","postalCode":"55102"},"tradeNames":[],"registration":{"secApproved":"19 May 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":612640.1628959276,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":144725154,"discretionary":127942082,"discretionaryAccounts":674,"nonDiscretionary":16783072,"nonDiscretionaryAccounts":84,"wrapProgram":127942082,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":175,"regulatoryAum":42313484},{"label":"High-net-worth individuals","clients":46,"regulatoryAum":93079992},{"label":"Pension and profit-sharing plans","clients":6,"regulatoryAum":8987167},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":344511}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"marginal","fee_tiers":[{"to":250000,"pct":1.5,"from":0},{"to":500000,"pct":1.25,"from":250000},{"to":1000000,"pct":1,"from":500000},{"to":3000000,"pct":0.75,"from":1000000},{"to":null,"pct":0.5,"from":3000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053141","versionId":1053141,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-07-28","documentName":"FORM ADV PART 2A","fee_rate_low":0.5,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning and consulting projects","summary":"Financial planning and consulting projects are charged as negotiated fixed fees from $250 to $10,000 per project, paid in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053141","versionId":1053141,"submittedOn":"2026-07-28","documentName":"FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:50:14.274756+00:00","documents":[{"name":"FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053141","versionId":1053141,"submittedOn":"2026-07-28"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053142","versionId":1053142,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Jersey City, NJ","smaAssets":122443736}],"custodyNote":"Knox Avenue Financial has custody of $59.7M in client assets for 76 clients.","leadership":[{"name":"Joseph Brill","title":"President / CCO","crd":"5455127"}],"ownership":[{"label":"Joseph Brill","detail":"President / cco in the 75% or more ownership band and a control person, since May 2017."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Minnesota","offices":1,"addresses":[{"street":"380 St. Peter Street, Suite 742","city":"St. Paul","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"952-426-4352","stateRegisteredReps":1,"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","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":10},{"label":"Derivatives","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":73},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":12,"detail":"Annuities 7% and 401k Funds 5%"}],"privateFunds":0},"sources":{"adv1FilingDate":"28 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/289094/PDF/289094.pdf","brochureDate":"28 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053141","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 Knox Avenue Financial have?","answer":"Knox Avenue Financial has 227 clients and manages $145 million for them, as of July 2026. They include 175 individual clients, 46 high-net-worth individuals, and 6 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Knox Avenue Financial offer?","answer":"Knox Avenue Financial 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":"How much does Knox Avenue Financial charge?","answer":"Knox Avenue Financial charges 0.50%–1.50% a year for its Asset Management. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"FORM ADV PART 2A, filed 28 July 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Knox Avenue Financial use?","answer":"Knox Avenue Financial’s separately managed account assets are held at Charles Schwab & Co., Inc. (Jersey City, NJ), with $122M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Knox Avenue Financial have?","answer":"Knox Avenue Financial has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Knox Avenue Financial invest in?","answer":"At the end of its last fiscal year, Knox Avenue Financial’s separately managed accounts held 73% registered funds (mutual funds, ETFs, BDCs), 12% other, 10% exchange-traded equities, 4% derivatives and 1% cash and equivalents. The 12% other category is described as: Annuities 7% and 401k Funds 5%.","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 Knox Avenue Financial?","answer":"Knox Avenue Financial’s direct owner is Joseph Brill (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 28 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Knox Avenue Financial get paid?","answer":"Knox Avenue Financial 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 Knox Avenue Financial registered with the SEC?","answer":"Yes, Knox Avenue Financial has been registered with the SEC as an investment adviser since 19 May 2025. Its CRD number is 289094 and its SEC file number is 801-132796.","source":"Form ADV Part 1A, Item 1, filed 28 July 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Knox Avenue Financial?","answer":"Knox Avenue Financial’s main office is at 380 St. Peter Street, Suite 742, St. Paul, MN 55102. Its phone number is 952-426-4352. Its website is knoxavenuefinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 28 July 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."}