{"url":"https://nivawealth.com/firms/mercurio-and-associates-283632","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/283632","regulatoryAum":141065289,"crd":"283632","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6401218","suffix":null,"lastName":"BOLTON","firstName":"TROY","middleName":"WAYNE"},{"crd":"1624265","suffix":null,"lastName":"MERCURIO","firstName":"DONALD","middleName":"ALAN"},{"crd":"7432984","suffix":null,"lastName":"Schneider","firstName":"Ashley","middleName":"Rose"}],"total":3,"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":"2022-07-28","regulatoryAum":115583024,"clients":431,"employees":3,"offices":1},{"filedOn":"2023-03-27","regulatoryAum":92183015,"clients":398,"employees":6,"offices":1},{"filedOn":"2024-03-22","regulatoryAum":105048971,"clients":422,"employees":8,"offices":1},{"filedOn":"2025-03-21","regulatoryAum":123167983,"clients":425,"employees":10,"offices":1},{"filedOn":"2026-03-04","regulatoryAum":141065289,"clients":460,"employees":11,"offices":1}],"secFileNumber":"801-121883","legalName":"Mercurio & Associates Inc.","displayName":"Mercurio & Associates","slug":"mercurio-and-associates-283632","website":"https://mercurioadvisors.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/mercurio-wealth-advisors","xUrl":"https://twitter.com/MercurioAdvisor","founded":null,"organization":"Kentucky corporation","fiscalYearEnd":"December","headquarters":{"street":"9100 Shelbyville RD., Suite 150","city":"Louisville","state":"KY","stateName":"Kentucky","country":"United States","postalCode":"40222"},"tradeNames":[],"registration":{"secApproved":"25 August 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":315097.4887892377,"staff":{"employees":11,"advisory":3,"brokerDealerReps":0,"insuranceAgents":4,"promoters":0},"aum":{"regulatory":141065289,"discretionary":141065289,"discretionaryAccounts":957,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":423195867,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":431,"regulatoryAum":113461321},{"label":"High-net-worth individuals","clients":15,"regulatoryAum":27072159},{"label":"Pension and profit-sharing plans","clients":14,"regulatoryAum":531809}],"feePrograms":[{"role":"main","program":"Investment Management","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014321","versionId":1014321,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-04","documentName":"PART 2A BROCHURE","fee_rate_low":null,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Limited-Scope Consulting","summary":"Limited-scope consulting is billed at $250 an hour, with fees negotiated for each project and billed monthly as services are rendered.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014321","versionId":1014321,"submittedOn":"2026-03-04","documentName":"PART 2A BROCHURE"},{"role":"other","program":"Stand-Alone Financial Planning","summary":"Stand-alone planning is negotiated as a fixed fee not to exceed $25,000, or an hourly rate not to exceed $250 an hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014321","versionId":1014321,"submittedOn":"2026-03-04","documentName":"PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:26:12.11954+00:00","documents":[{"name":"PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014321","versionId":1014321,"submittedOn":"2026-03-04"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014320","versionId":1014320,"submittedOn":null}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":129443132},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":11622157}],"custodyNote":"Mercurio & Associates has custody of $4.03M for 26 clients.","otherCustodians":[],"leadership":[{"name":"Troy Bolton","title":"President","crd":"6401218"},{"name":"Donald Mercurio","title":"CEO & Chief Compliance Officer","crd":"1624265"}],"ownership":[{"label":"Donald Mercurio","detail":"Ceo & chief compliance officer in the 75% or more ownership band and a control person, since April 2000."},{"label":"Troy Bolton","detail":"President in the 5% to 10% ownership band and a control person, since November 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Kentucky","offices":1,"addresses":[{"street":"9100 Shelbyville RD., Suite 150","city":"Louisville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"502-253-9366","stateRegisteredReps":3,"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","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":53},{"label":"Securities issued by registered investment companies or business development companies","percent":42},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"4 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/283632/PDF/283632.pdf","brochureDate":"4 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014321","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 Mercurio & Associates have?","answer":"Mercurio & Associates has 460 clients and manages $141 million for them, as of March 2026. They include 431 individual clients, 15 high-net-worth individuals, and 14 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 4 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Mercurio & Associates offer?","answer":"Mercurio & Associates provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","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 Mercurio & Associates charge?","answer":"Mercurio & Associates charges up to 1.50% a year for its Investment Management. The fee is billed in arrears and is negotiable.","source":"PART 2A BROCHURE, filed 4 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Mercurio & Associates use?","answer":"Mercurio & Associates’ separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $129M and Charles Schwab & Co., Inc. (Westlake, TX), with $11.6M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Mercurio & Associates have?","answer":"Mercurio & Associates has 3 investment adviser representatives registered with state securities authorities, out of 11 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 4 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 Mercurio & Associates invest in?","answer":"At the end of its last fiscal year, Mercurio & Associates’ separately managed accounts held 53% exchange-traded equities, 42% registered funds (mutual funds, ETFs, BDCs) and 5% 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 Mercurio & Associates?","answer":"Mercurio & Associates’ direct owners are Donald Mercurio (75% or more) and Troy Bolton (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 4 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Mercurio & Associates get paid?","answer":"Mercurio & 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":"How do I contact Mercurio & Associates?","answer":"Mercurio & Associates’ main office is at 9100 Shelbyville RD., Suite 150, Louisville, KY 40222. Its phone number is 502-253-9366. Its website is mercurioadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 4 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."}