{"url":"https://nivawealth.com/firms/morgan-aly-wealth-management-328483","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/328483","regulatoryAum":105268201,"crd":"328483","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6855194","suffix":null,"lastName":"Behr","firstName":"Jason","middleName":"L"},{"crd":"1015599","suffix":null,"lastName":"HAYETT","firstName":"JAMES","middleName":"ARTHUR"}],"total":2,"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"},"secFileNumber":"801-135514","legalName":"Morgan-Aly Wealth Management, LLC","displayName":"Morgan-Aly Wealth Management","slug":"morgan-aly-wealth-management-328483","website":"https://morgan-aly.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/morgan-aly-wealth-management-group/","founded":null,"organization":"Wisconsin limited liability company","fiscalYearEnd":"December","headquarters":{"street":"N4W22370 Bluemound RD, Suite 204","city":"Waukesha","state":"WI","stateName":"Wisconsin","country":"United States","postalCode":"53186"},"tradeNames":[],"registration":{"secApproved":"9 March 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":667914.1474358974,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":105268201,"discretionary":105268201,"discretionaryAccounts":390,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":136,"regulatoryAum":41286254},{"label":"High-net-worth individuals","clients":20,"regulatoryAum":62908353},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":1073594}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040082","versionId":1040082,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-04-02","documentName":"ADV 2A","fee_rate_low":1,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T17:36:05.66509+00:00","documents":[{"name":"ADV 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040082","versionId":1040082,"submittedOn":"2026-04-02"}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Fort Mill, SC","smaAssets":105268201}],"custodyNote":"Morgan-Aly Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jason Behr","title":"Owner","crd":"6855194"},{"name":"James Hayett","title":"Owner and CCO","crd":"1015599"}],"ownership":[{"label":"James Hayett","detail":"Owner and cco in the 25% to 50% ownership band and a control person, since November 2023."},{"label":"Jason Behr","detail":"Owner in the 50% to 75% ownership band and a control person, since January 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Wisconsin","offices":1,"addresses":[{"street":"N4W22370 Bluemound RD, Suite 204","city":"Waukesha","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"262-691-0100","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":67},{"label":"U.S. government/agency bonds","percent":10},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":9},{"label":"Cash and cash equivalents","percent":13}],"privateFunds":0},"sources":{"adv1FilingDate":"2 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/328483/PDF/328483.pdf","brochureDate":"2 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040082","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 Morgan-Aly Wealth Management have?","answer":"Morgan-Aly Wealth Management has 157 clients and manages $105 million for them, as of April 2026. They include 136 individual clients, 20 high-net-worth individuals and 1 pension or profit-sharing plan.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Morgan-Aly Wealth Management offer?","answer":"Morgan-Aly Wealth Management provides portfolio management for individuals and small businesses.","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 Morgan-Aly Wealth Management charge?","answer":"Morgan-Aly Wealth Management charges 1.00%–1.25% a year for its Asset Management. The fee is billed in advance and is negotiable.","source":"ADV 2A, filed 2 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Morgan-Aly Wealth Management use?","answer":"Morgan-Aly Wealth Management’s separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $105M. 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 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Morgan-Aly Wealth Management have?","answer":"Morgan-Aly Wealth Management has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 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 Morgan-Aly Wealth Management invest in?","answer":"At the end of its last fiscal year, Morgan-Aly Wealth Management’s separately managed accounts held 67% exchange-traded equities, 13% cash and equivalents, 10% U.S. government and agency bonds, 9% registered funds (mutual funds, ETFs, BDCs) and 1% state and local 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 Morgan-Aly Wealth Management?","answer":"Morgan-Aly Wealth Management’s direct owners are James Hayett (25% to 50%) and Jason Behr (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 2 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Morgan-Aly Wealth Management get paid?","answer":"Morgan-Aly Wealth Management is paid through a percentage of assets under management. 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 Morgan-Aly Wealth Management?","answer":"Morgan-Aly Wealth Management’s main office is at N4W22370 Bluemound RD, Suite 204, Waukesha, WI 53186. Its phone number is 262-691-0100. Its website is morgan-aly.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 April 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."}