{"url":"https://nivawealth.com/firms/ppsgrp-340003","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/340003","regulatoryAum":157013593,"crd":"340003","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7057063","suffix":null,"lastName":"Melahn","firstName":"Brianna","middleName":"Michelle"},{"crd":"4503583","suffix":null,"lastName":"NAKAGAWA","firstName":"NAOKA","middleName":null},{"crd":"1260944","suffix":null,"lastName":"PELOSO-BARNES","firstName":"JULIA","middleName":"ANNE TERESA"}],"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":"801-135208","legalName":"PPSGRP LLC","displayName":"PPSgrp","slug":"ppsgrp-340003","website":"https://ppsgrp.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"777 Westchester Ave., Suite 101","city":"White Plains","state":"NY","stateName":"New York","country":"United States","postalCode":"10604"},"tradeNames":[],"registration":{"secApproved":"17 February 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":368576.5093896714,"staff":{"employees":5,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":157013593,"discretionary":21951137,"discretionaryAccounts":136,"nonDiscretionary":135062456,"nonDiscretionaryAccounts":290,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":426,"regulatoryAum":157013593}],"feePrograms":[{"role":"other","program":"Estate Planning Services","summary":"Estate planning fees range from $250 to $1,500, depending on the documents and whether the service covers an individual or a couple.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043122","versionId":1043122,"submittedOn":"2026-04-28","documentName":"PRISM PLANNING AND SOLUTIONS GROUP - ADV2A"},{"role":"other","program":"Financial Coaching Services","summary":"Financial coaching is billed monthly in advance, from $100 to $1,000 per month.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043122","versionId":1043122,"submittedOn":"2026-04-28","documentName":"PRISM PLANNING AND SOLUTIONS GROUP - ADV2A"},{"role":"other","program":"Financial Consulting Services","summary":"Financial consulting is negotiated per engagement, from $500 to $10,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043122","versionId":1043122,"submittedOn":"2026-04-28","documentName":"PRISM PLANNING AND SOLUTIONS GROUP - ADV2A"},{"role":"other","program":"Financial Planning Services","summary":"Financial planning is negotiated and fixed at the start of each engagement, from $1,800 to $12,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043122","versionId":1043122,"submittedOn":"2026-04-28","documentName":"PRISM PLANNING AND SOLUTIONS GROUP - ADV2A"},{"role":"other","program":"Ongoing Advice Services","summary":"Ongoing advice fees are $1,200 to $10,000 annually, billed monthly or quarterly in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043122","versionId":1043122,"submittedOn":"2026-04-28","documentName":"PRISM PLANNING AND SOLUTIONS GROUP - ADV2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T18:13:31.356866+00:00","documents":[{"name":"PRISM PLANNING AND SOLUTIONS GROUP - ADV2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043122","versionId":1043122,"submittedOn":"2026-04-28"}]},"custodians":[],"custodyNote":"PPSgrp does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Leila Shaver","title":"Chief Compliance Officer","crd":"5764341"},{"name":"Julia Peloso-Barnes","title":"Managing Member","crd":"1260944"}],"ownership":[{"label":"Julia Peloso-Barnes","detail":"Managing member in the 75% or more ownership band and a control person, since February 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"777 Westchester Ave., Suite 101","city":"White Plains","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"914-831-3050","stateRegisteredReps":3,"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"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":7},{"label":"Non-exchange-traded equity securities","percent":14},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":69},{"label":"Cash and cash equivalents","percent":6},{"label":"Other","percent":3,"detail":"Undefined"}],"privateFunds":0},"sources":{"adv1FilingDate":"7 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/340003/PDF/340003.pdf","brochureDate":"28 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043122","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 PPSgrp have?","answer":"PPSgrp has 426 clients and manages $157 million for them, as of August 2026. They include 426 individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 7 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does PPSgrp offer?","answer":"PPSgrp provides financial planning and 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 many financial advisors does PPSgrp have?","answer":"PPSgrp has 3 investment adviser representatives registered with state securities authorities, out of 5 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 PPSgrp invest in?","answer":"At the end of its last fiscal year, PPSgrp’s separately managed accounts held 69% registered funds (mutual funds, ETFs, BDCs), 14% non-exchange-traded equities, 7% exchange-traded equities, 6% cash and equivalents, 3% other and 1% state and local bonds. The 3% other category is described as: Undefined.","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 PPSgrp?","answer":"PPSgrp’s direct owner is Julia Peloso-Barnes (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 7 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does PPSgrp get paid?","answer":"PPSgrp 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 PPSgrp?","answer":"PPSgrp’s main office is at 777 Westchester Ave., Suite 101, White Plains, NY 10604. Its phone number is 914-831-3050. Its website is ppsgrp.com.","source":"Form ADV Part 1A, Item 1.F, filed 7 August 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."}