{"url":"https://nivawealth.com/firms/mindful-wealth-297493","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/297493","regulatoryAum":225291284,"crd":"297493","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2694451","suffix":null,"lastName":"DICKMAN","firstName":"DAVID","middleName":"MICHAEL"}],"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":"2023-05-05","regulatoryAum":110555816,"clients":35,"employees":1,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":132866323,"clients":42,"employees":1,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":188343757,"clients":44,"employees":2,"offices":1},{"filedOn":"2026-05-27","regulatoryAum":225291284,"clients":57,"employees":1,"offices":1}],"secFileNumber":"801-127605","legalName":"Mindful Wealth LLC","displayName":"Mindful 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2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:05:47.626332+00:00","documents":[{"name":"MINDFUL WEALTH LLC FORM ADV PARTS 2A & 2B JUNE 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046374","versionId":1046374,"submittedOn":"2026-05-27"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":225291284}],"custodyNote":"Mindful Wealth does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"David Dickman","title":"Founder, Managing Partner, CCO","crd":"2694451"}],"ownership":[{"label":"David Dickman","detail":"Founder, managing partner, cco in the 75% or more ownership band and a control person, since June 2018."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"385 Park Avenue, 200","city":"Glencoe","headquarters":true}]}],"brochureServices":["business succession planning","estate planning","insurance","philanthropic planning","retirement plan services"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"312-953-9900","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","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":22},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. 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They include 57 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Mindful Wealth offer?","answer":"Mindful Wealth provides financial planning, portfolio management for individuals and small businesses, selecting other managers, business succession planning, estate planning, insurance, philanthropic planning, and retirement plan services.","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 Mindful Wealth charge?","answer":"Mindful Wealth charges 0.50%–0.95% for its Assets Under Management Fee. The brochure does not state whether the rate is annual. The fee is billed in arrears and is negotiable.","source":"MINDFUL WEALTH LLC FORM ADV PARTS 2A & 2B JUNE 2026, filed 27 May 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Mindful Wealth use?","answer":"Mindful Wealth’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $225M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Mindful Wealth have?","answer":"Mindful Wealth has 1 investment adviser representative registered with state securities authorities, out of 1 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 Mindful Wealth invest in?","answer":"At the end of its last fiscal year, Mindful Wealth’s separately managed accounts held 48% registered funds (mutual funds, ETFs, BDCs), 22% exchange-traded equities, 16% cash and equivalents, 10% pooled vehicles (private funds and similar), 3% state and local bonds and 1% U.S. government and agency bonds.","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 Mindful Wealth?","answer":"Mindful Wealth’s direct owner is David Dickman (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Mindful Wealth get paid?","answer":"Mindful Wealth 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 Mindful Wealth?","answer":"Mindful Wealth’s main office is at 385 Park Avenue, 200, Glencoe, IL 60022. Its phone number is 312-953-9900. Its website is mindfulwealthllc.com.","source":"Form ADV Part 1A, Item 1.F, filed 27 May 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."}