{"url":"https://nivawealth.com/firms/oda-and-company-119952","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/119952","regulatoryAum":125561519,"crd":"119952","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2380487","suffix":null,"lastName":"HORNAK-BOX","firstName":"PATRICIA","middleName":"SUE"},{"crd":"1779618","suffix":null,"lastName":"ODA","firstName":"STANLEY","middleName":null}],"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":"801-135858","legalName":"Oda and Company, Inc.","displayName":"Oda and Company","slug":"oda-and-company-119952","website":"https://odaandcompany.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/119952/72b3d8160e605643-r1.webp","tone":"light","width":478,"height":200,"sourceUrl":"https://www.odaandcompany.com","sourceLabel":"ODA and Company, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Ohio corporation","fiscalYearEnd":"December","headquarters":{"street":"416 West Liberty Street","city":"Medina","state":"OH","stateName":"Ohio","country":"United States","postalCode":"44256-2222"},"tradeNames":[],"registration":{"secApproved":"15 April 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":635569.1167512691,"staff":{"employees":3,"advisory":1,"brokerDealerReps":3,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":125561519,"discretionary":124648137,"discretionaryAccounts":274,"nonDiscretionary":913382,"nonDiscretionaryAccounts":12,"wrapProgram":123871785,"nonUsClientsPct":0,"nonAumClients":13},"clientTypes":[{"label":"Individuals (other than HNW)","clients":164,"regulatoryAum":81373853},{"label":"High-net-worth individuals","clients":33,"regulatoryAum":43833263},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":354403}],"feePrograms":[{"role":"other","program":"Estate Settlement Assistance","summary":"Estate settlement assistance is charged 0.50% to 1.00% of the total value of the estate, depending on its complexity.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019200","versionId":1019200,"submittedOn":"2026-03-16","documentName":"ODA & CO., INC. FIRM BROCHURE"},{"role":"other","program":"Financial Planning","summary":"Financial planning is a fixed fee of $2,000 to $5,000, or hourly at $150 to $300 an hour with a two-hour minimum per engagement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019200","versionId":1019200,"submittedOn":"2026-03-16","documentName":"ODA & CO., INC. FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:32:35.392244+00:00","documents":[{"name":"ODA & CO., INC. FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019200","versionId":1019200,"submittedOn":"2026-03-16"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019201","versionId":1019201,"submittedOn":null}]},"custodians":[{"name":"LPL Financial","shortName":"LPL Financial","location":"San Diego, CA","smaAssets":123871785}],"custodyNote":"Oda and Company does not have custody of client assets.","leadership":[{"name":"Stanley Oda","title":"President/CCO","crd":"1779618"}],"ownership":[{"label":"Stanley Oda","detail":"President/cco in the 75% or more ownership band and a control person, since March 2000."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Ohio","offices":1,"addresses":[{"street":"416 West Liberty Street","city":"Medina","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"330-725-8911","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","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":21},{"label":"Securities issued by registered investment companies or business development companies","percent":78},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"16 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/119952/PDF/119952.pdf","brochureDate":"16 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019200","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 Oda and Company have?","answer":"Oda and Company has 197 clients and manages $126 million for them, as of July 2026. They include 164 individual clients and 33 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Oda and Company offer?","answer":"Oda and Company 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":"Which custodians does Oda and Company use?","answer":"Oda and Company’s separately managed account assets are held at LPL Financial (San Diego, CA), with $124M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Oda and Company have?","answer":"Oda and Company has 1 investment adviser representative registered with state securities authorities, out of 3 employees, and 1 perform investment advisory functions. 3 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 Oda and Company invest in?","answer":"At the end of its last fiscal year, Oda and Company’s separately managed accounts held 78% registered funds (mutual funds, ETFs, BDCs), 21% exchange-traded equities and 1% 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 Oda and Company?","answer":"Oda and Company’s direct owner is Stanley Oda (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 16 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Oda and Company get paid?","answer":"Oda and Company 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":"Is Oda and Company registered with the SEC?","answer":"Yes, Oda and Company has been registered with the SEC as an investment adviser since 15 April 2026. Its CRD number is 119952 and its SEC file number is 801-135858.","source":"Form ADV Part 1A, Item 1, filed 16 July 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Oda and Company?","answer":"Oda and Company’s main office is at 416 West Liberty Street, Medina, OH 44256-2222. Its phone number is 330-725-8911. Its website is odaandcompany.com.","source":"Form ADV Part 1A, Item 1.F, filed 16 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."}