{"url":"https://nivawealth.com/firms/pleasantdale-wealth-management-302034","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/302034","regulatoryAum":113700000,"crd":"302034","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6416487","suffix":"MR.","lastName":"DUDES","firstName":"BRIAN","middleName":"WILLIAM"},{"crd":"6702742","suffix":null,"lastName":"Dudes","firstName":"Michael","middleName":"Andrew"},{"crd":"1300217","suffix":null,"lastName":"DUDES","firstName":"WILLIAM","middleName":"EDWARD"}],"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"},"secFileNumber":"801-133982","legalName":"Pleasantdale Wealth Management, LLC","displayName":"Pleasantdale Wealth Management","slug":"pleasantdale-wealth-management-302034","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth 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organizations","clients":2,"regulatoryAum":2400000},{"label":"Corporations and other businesses","clients":1,"regulatoryAum":200000}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"whole_balance","fee_tiers":[{"to":1000000,"pct":1.45,"from":0},{"to":null,"pct":1.1,"from":1000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039936","versionId":1039936,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-04-01","documentName":"ADV PART 2A & 2B SEC","fee_rate_low":1.1,"fee_rate_high":1.45,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"ERISA Plan Services","summary":"ERISA plan services are charged an annual fee based on the market value of the Included Assets, negotiable and not to exceed 1.25%.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039936","versionId":1039936,"submittedOn":"2026-04-01","documentName":"ADV PART 2A & 2B SEC"},{"role":"other","program":"Financial Planning","summary":"Financial planning is billed at an hourly fee of $200 per hour, with 50% billed in advance and the balance due on plan delivery.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039936","versionId":1039936,"submittedOn":"2026-04-01","documentName":"ADV PART 2A & 2B SEC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:20:57.512431+00:00","documents":[{"name":"ADV PART 2A & 2B SEC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039936","versionId":1039936,"submittedOn":"2026-04-01"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":107000000},{"name":"Jackson National","shortName":"Jackson National","location":"Lansing, MI","smaAssets":4900000},{"name":"Adp","shortName":"Adp","location":"Roseland, NJ","smaAssets":1100000},{"name":"Nationwide","shortName":"Nationwide","location":"Columbus, OH","smaAssets":700000}],"custodyNote":"Pleasantdale Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"William Dudes","title":"Chief Compliance Officer/Managing Member","crd":"1300217"},{"name":"Michael Dudes","title":"Member","crd":"6702742"},{"name":"Brian Dudes","title":"Member","crd":"6416487"}],"ownership":[{"label":"William Dudes","detail":"Chief compliance officer/managing member in the 75% or more ownership band and a control person, since April 2019."},{"label":"Michael Dudes","detail":"Member in the 10% to 25% ownership band, since January 2025."},{"label":"Brian Dudes","detail":"Member in the 10% to 25% ownership band, since January 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"908-914-1572","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":28},{"label":"Securities issued by registered investment companies or business development companies","percent":69},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"1 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/302034/PDF/302034.pdf","brochureDate":"1 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039936","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 Pleasantdale Wealth Management have?","answer":"Pleasantdale Wealth Management has 187 clients and manages $114 million for them, as of April 2026. They include 146 individual clients, 35 high-net-worth individuals, and 3 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Pleasantdale Wealth Management offer?","answer":"Pleasantdale Wealth Management provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","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 Pleasantdale Wealth Management charge?","answer":"Pleasantdale Wealth Management charges 1.10%–1.45% a year for its Asset Management. The whole portfolio is charged at the rate of its band. The fee is billed in advance and is negotiable.","source":"ADV PART 2A & 2B SEC, filed 1 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Pleasantdale Wealth Management use?","answer":"Pleasantdale Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $107M, Jackson National (Lansing, MI), with $4.9M, Adp (Roseland, NJ), with $1.1M and Nationwide (Columbus, OH), with $700K. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Pleasantdale Wealth Management have?","answer":"Pleasantdale Wealth Management has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 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 Pleasantdale Wealth Management invest in?","answer":"At the end of its last fiscal year, Pleasantdale Wealth Management’s separately managed accounts held 69% registered funds (mutual funds, ETFs, BDCs), 28% exchange-traded equities and 3% 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 Pleasantdale Wealth Management?","answer":"Pleasantdale Wealth Management’s direct owners are William Dudes (75% or more), Michael Dudes (10% to 25%) and Brian Dudes (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Pleasantdale Wealth Management get paid?","answer":"Pleasantdale Wealth Management is paid through a percentage of assets under management and hourly charges. 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 Pleasantdale Wealth Management?","answer":"Its phone number is 908-914-1572.","source":"Form ADV Part 1A, Item 1.F, filed 1 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."}