{"url":"https://nivawealth.com/firms/ostrofe-financial-consultants-110064","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/110064","regulatoryAum":386448000,"crd":"110064","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3075274","suffix":null,"lastName":"FISHER","firstName":"FREDERICK","middleName":"AYER"},{"crd":"5711285","suffix":null,"lastName":"LEISHMAN","firstName":"NATHAN","middleName":"THOMAS"},{"crd":"5095063","suffix":null,"lastName":"LEISHMAN","firstName":"SETH","middleName":"TYLER"}],"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":"2021-06-29","regulatoryAum":243458000,"clients":441,"employees":10,"offices":1},{"filedOn":"2022-02-18","regulatoryAum":282114000,"clients":455,"employees":10,"offices":1},{"filedOn":"2023-02-02","regulatoryAum":251076000,"clients":469,"employees":10,"offices":1},{"filedOn":"2024-02-09","regulatoryAum":261697000,"clients":480,"employees":10,"offices":1},{"filedOn":"2025-02-14","regulatoryAum":315789000,"clients":506,"employees":10,"offices":1},{"filedOn":"2026-02-03","regulatoryAum":386448000,"clients":568,"employees":9,"offices":1}],"secFileNumber":"801-34048","legalName":"Ostrofe Financial Consultants Inc","displayName":"Ostrofe Financial Consultants","slug":"ostrofe-financial-consultants-110064","website":"https://ostrofefinancial.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/110064/1b24da7fc5964706-r1.webp","tone":"dark","width":1057,"height":200,"sourceUrl":"https://ostrofefinancial.com/","sourceLabel":"Ostrofe Financial Consultants INC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"420 Sierra College Drive, Suite 200","city":"Grass Valley","state":"CA","stateName":"California","country":"United States","postalCode":"95945"},"tradeNames":[],"registration":{"secApproved":"21 April 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2","fee_rate_low":1,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning","summary":"Financial planning beyond the investment management fee is billed by the hour, on an hourly fee schedule provided before the engagement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1005964","versionId":1005964,"submittedOn":"2026-02-03","documentName":"ADV PART 2"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:23:58.415513+00:00","documents":[{"name":"ADV PART 2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1005964","versionId":1005964,"submittedOn":"2026-02-03"}]},"custodians":[{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":15910000}],"custodyNote":"Ostrofe Financial Consultants does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Seth Leishman","title":"President","crd":"5095063"},{"name":"Patricia Lum","title":"Chief Compliance Officer","crd":"2188549"}],"ownership":[{"label":"Seth Leishman","detail":"President in the 75% or more ownership band and a control person, since July 2018."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"420 Sierra College Drive, Suite 200","city":"Grass Valley","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"530-273-4425","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":65},{"label":"U.S. government/agency bonds","percent":10},{"label":"U.S. state and local bonds","percent":5},{"label":"Investment grade corporate bonds","percent":5},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":5},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"3 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/110064/PDF/110064.pdf","brochureDate":"3 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1005964","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 Ostrofe Financial Consultants have?","answer":"Ostrofe Financial Consultants has 568 clients and manages $386 million for them, as of February 2026. They include 414 individual clients, 143 high-net-worth individuals, and 11 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 3 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ostrofe Financial Consultants offer?","answer":"Ostrofe Financial Consultants 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 Ostrofe Financial Consultants charge?","answer":"Ostrofe Financial Consultants charges 1.00%–1.25% a year for its Investment management services. The fee is billed in advance and is negotiable.","source":"ADV PART 2, filed 3 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Ostrofe Financial Consultants use?","answer":"Ostrofe Financial Consultants’ separately managed account assets are held at Pershing LLC (Jersey City, NJ), with $15.9M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Ostrofe Financial Consultants have?","answer":"Ostrofe Financial Consultants has 3 investment adviser representatives registered with state securities authorities, out of 9 employees, and 3 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 2 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 Ostrofe Financial Consultants invest in?","answer":"At the end of its last fiscal year, Ostrofe Financial Consultants’ separately managed accounts held 65% exchange-traded equities, 10% U.S. government and agency bonds, 10% cash and equivalents, 5% state and local bonds, 5% investment grade corporate bonds and 5% 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 Ostrofe Financial Consultants?","answer":"Ostrofe Financial Consultants’ direct owner is Seth Leishman (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 3 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ostrofe Financial Consultants get paid?","answer":"Ostrofe Financial Consultants 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 Ostrofe Financial Consultants?","answer":"Ostrofe Financial Consultants’ main office is at 420 Sierra College Drive, Suite 200, Grass Valley, CA 95945. Its phone number is 530-273-4425. Its website is ostrofefinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 3 February 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."}