{"url":"https://nivawealth.com/firms/lawley-retirement-advisors-282786","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/282786","regulatoryAum":2130067484,"crd":"282786","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7876158","suffix":null,"lastName":"Clouden","firstName":"Adam","middleName":"M"},{"crd":"4867748","suffix":null,"lastName":"COOLEY","firstName":"LAURA","middleName":"ANN"},{"crd":"5693583","suffix":null,"lastName":"MCKELLAR","firstName":"SUMMER","middleName":"MELODY"},{"crd":"6563884","suffix":null,"lastName":"Miller","firstName":"Ryan","middleName":"Thomas"},{"crd":"8268549","suffix":null,"lastName":"Pascarella","firstName":"Andrew","middleName":"Joseph"},{"crd":"1503983","suffix":"JR","lastName":"REHAK","firstName":"JAMES","middleName":"JOSEPH"},{"crd":"6944181","suffix":null,"lastName":"Rehak","firstName":"James","middleName":"Patrick"},{"crd":"5838902","suffix":null,"lastName":"Setter","firstName":"Mary","middleName":"K"},{"crd":"6854915","suffix":null,"lastName":"Siva","firstName":"Matthew","middleName":"J"},{"crd":"4262030","suffix":null,"lastName":"TEVENS","firstName":"TODD","middleName":"MICHAEL"},{"crd":"7998255","suffix":null,"lastName":"Verrico","firstName":"Benard","middleName":null}],"total":11,"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":"2021-07-13","regulatoryAum":1168929946,"clients":111,"employees":7,"offices":2},{"filedOn":"2022-06-02","regulatoryAum":1442560144,"clients":134,"employees":5,"offices":2},{"filedOn":"2023-03-19","regulatoryAum":1301091580,"clients":137,"employees":5,"offices":2},{"filedOn":"2024-07-13","regulatoryAum":1663453490,"clients":154,"employees":7,"offices":2},{"filedOn":"2025-03-31","regulatoryAum":1953102169,"clients":156,"employees":11,"offices":2},{"filedOn":"2026-07-08","regulatoryAum":2130067484,"clients":161,"employees":12,"offices":2}],"secFileNumber":"801-107260","legalName":"Lawley Retirement Advisors, LLC","displayName":"Lawley Retirement Advisors","slug":"lawley-retirement-advisors-282786","website":null,"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"361 Delaware Avenue","city":"Buffalo","state":"NY","stateName":"New York","country":"United States","postalCode":"14202"},"tradeNames":[],"registration":{"secApproved":"24 February 2016","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":12,"advisory":5,"brokerDealerReps":3,"insuranceAgents":9,"promoters":2},"aum":{"regulatory":2130067484,"discretionary":98132242,"discretionaryAccounts":6,"nonDiscretionary":2031935242,"nonDiscretionaryAccounts":172,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pension and profit-sharing plans","clients":161,"regulatoryAum":2130067484}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Principal Financial Group","shortName":"Principal Financial Group","location":"Des Moines, IA","smaAssets":528561183},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":414033864},{"name":"Empower","shortName":"Empower","location":"Greenwood Village, CO","smaAssets":285901038}],"custodyNote":"Lawley Retirement Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"James Rehak","title":"Managing Member, Managing Director, and Chief Compliance Officer","crd":"1503983"},{"name":"Todd Tevens","title":"Managing Director","crd":"4262030"}],"ownership":[{"label":"Lawley Parent, LLC","detail":"Owner in the 75% or more ownership band and a control person, since January 2016."},{"label":"Lawley Service, Inc.","detail":"Indirect owner: a owner of Lawley Parent, LLC in the 25% to 50% band and a control person, since January 2001.","parent":"Lawley Parent, LLC"},{"label":"Lawley PPC Investor, LLC","detail":"Indirect owner: a owner of Lawley Parent, LLC in the 25% to 50% band and a control person, since September 2023.","parent":"Lawley Parent, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"New York","offices":2,"addresses":[{"street":"361 Delaware Avenue","city":"Buffalo","headquarters":true},{"street":"441 East Avenue","city":"Rochester"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"716-849-8219","stateRegisteredReps":8,"otherAdviserReps":3,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Pension consulting services","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":93},{"label":"Cash and cash equivalents","percent":7}],"privateFunds":0},"sources":{"adv1FilingDate":"8 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/282786/PDF/282786.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Lawley Retirement Advisors have?","answer":"Lawley Retirement Advisors has 161 clients and manages $2.13 billion for them, as of July 2026. They include 161 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 8 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Lawley Retirement Advisors offer?","answer":"Lawley Retirement Advisors provides 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 Lawley Retirement Advisors use?","answer":"Lawley Retirement Advisors’ separately managed account assets are held at Principal Financial Group (Des Moines, IA), with $529M, Fidelity Brokerage Services LLC (Smithfield, RI), with $414M and Empower (Greenwood Village, CO), with $286M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 8 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Lawley Retirement Advisors have?","answer":"Lawley Retirement Advisors has 8 investment adviser representatives registered with state securities authorities, out of 12 employees, and 5 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 9 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 Lawley Retirement Advisors invest in?","answer":"At the end of its last fiscal year, Lawley Retirement Advisors’ separately managed accounts held 93% registered funds (mutual funds, ETFs, BDCs) and 7% 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":"Who owns Lawley Retirement Advisors?","answer":"Lawley Retirement Advisors is owned through a holding company by Lawley Service, Inc. and Lawley PPC Investor, LLC. Its direct owner is Lawley Parent, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 8 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Lawley Retirement Advisors get paid?","answer":"Lawley Retirement Advisors 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 Lawley Retirement Advisors?","answer":"Lawley Retirement Advisors’ main office is at 361 Delaware Avenue, Buffalo, NY 14202. Its phone number is 716-849-8219.","source":"Form ADV Part 1A, Item 1.F, filed 8 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."}