{"url":"https://nivawealth.com/firms/leo-wealth-283891","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/283891","regulatoryAum":3205181999,"crd":"283891","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3267821","suffix":null,"lastName":"ALLAIN","firstName":"MATTHEW","middleName":"JAMES"},{"crd":"4621321","suffix":null,"lastName":"BOHLINGER","firstName":"MICHAEL","middleName":"ANTHONY"},{"crd":"7423098","suffix":null,"lastName":"CHARALAMBOUS","firstName":"CHRISTAKIS","middleName":null},{"crd":"7925694","suffix":null,"lastName":"Corcoran","firstName":"Ryan","middleName":"Alfred"},{"crd":"1155933","suffix":null,"lastName":"CURTIS","firstName":"JIMMY","middleName":"DARYL"},{"crd":"2417378","suffix":null,"lastName":"DUGAN","firstName":"KENNETH","middleName":"FRANCIS"},{"crd":"7341378","suffix":null,"lastName":"DURYEE","firstName":"CHARLES","middleName":"LOUIS"},{"crd":"7661016","suffix":null,"lastName":"Gaynor","firstName":"Ryan","middleName":"Thomas"},{"crd":"4024339","suffix":null,"lastName":"KATZ","firstName":"ERIC","middleName":"SCOTT"},{"crd":"4592229","suffix":null,"lastName":"LIM","firstName":"DAVID","middleName":"SWEE 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since August 2016."},{"label":"Leo Capital Corp","detail":"Indirect owner: a owner of Leo Capital Corp Holdings, LLC in the 75% or more band and a control person, since July 2021.","parent":"Leo Capital Corp Holdings, LLC"}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"6501 Congress Avenue","city":"Boca Raton"}]},{"state":"New Jersey","offices":1,"addresses":[{"street":"379 Thornall St., Floor 9, Suite 9","city":"Edison","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"45 Rockefeller Plaza","city":"New York"}]}],"brochureServices":["estate planning","family office services","insurance","retirement plan services","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"732-903-2600","stateRegisteredReps":27,"otherAdviserReps":0,"compensation":["A percentage of assets under 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They include 1,261 individual clients and 453 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Leo Wealth offer?","answer":"Leo Wealth provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, estate planning, family office services, insurance, 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 Leo Wealth charge?","answer":"Leo Wealth charges 0.35%–1.50% for its Non-ERISA 3(21) Investment Advisory Services. The brochure does not state whether the rate is annual. The fee is billed in advance or in arrears and is negotiable.","source":"LEO WEALTH, LLC ADV PART 2, filed 11 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Leo Wealth use?","answer":"Leo Wealth’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $1.63B and Charles Schwab & Co., Inc. (Westlake, TX), with $731M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Leo Wealth have?","answer":"Leo Wealth has 27 investment adviser representatives registered with state securities authorities, out of 40 employees, and 31 perform investment advisory functions. 13 employees are registered representatives of a broker-dealer and 15 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 Leo Wealth invest in?","answer":"At the end of its last fiscal year, Leo Wealth’s separately managed accounts held 89% exchange-traded equities, 10% cash and equivalents and 1% pooled vehicles (private funds and similar).","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 Leo Wealth?","answer":"Leo Wealth is owned through a holding company by Leo Capital Corp. Its direct owner is Leo Capital Corp Holdings, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 2 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Leo Wealth get paid?","answer":"Leo Wealth is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. 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 Leo Wealth registered with the SEC?","answer":"Yes, Leo Wealth has been registered with the SEC as an investment adviser since 26 September 2016. Its CRD number is 283891 and its SEC file number is 801-108435.","source":"Form ADV Part 1A, Item 1, filed 2 September 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Leo Wealth?","answer":"Leo Wealth’s main office is at 379 Thornall St., Floor 9, Suite 9, Edison, NJ 08837. Its phone number is 732-903-2600. Its website is leowealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 September 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."}