{"url":"https://nivawealth.com/firms/preisz-associates-144469","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/144469","regulatoryAum":701681920,"crd":"144469","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1040843","suffix":null,"lastName":"BESWICK","firstName":"ROBERT","middleName":"COLLINS"},{"crd":"4559410","suffix":null,"lastName":"BETHUNE","firstName":"CAROL","middleName":"QUILLIAN"},{"crd":"5075210","suffix":null,"lastName":"DAVENPORT","firstName":"THOMAS","middleName":"LELAND"},{"crd":"4650867","suffix":null,"lastName":"LAROCHE","firstName":"GEOFFREY","middleName":"DENISON"},{"crd":"1722796","suffix":null,"lastName":"PREISZ","firstName":"MICHAEL","middleName":"ALLEN"},{"crd":"6855850","suffix":null,"lastName":"PREISZ","firstName":"WILLIAM","middleName":"ALLEN"},{"crd":"6615291","suffix":null,"lastName":"Sample","firstName":"William","middleName":"Robert"},{"crd":"7224816","suffix":null,"lastName":"Tanz","firstName":"Jason","middleName":"David"},{"crd":"6135536","suffix":null,"lastName":"Whitman","firstName":"Christa","middleName":null}],"total":9,"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":"2021-04-15","regulatoryAum":492918763,"clients":240,"employees":9,"offices":1},{"filedOn":"2022-03-16","regulatoryAum":568186575,"clients":305,"employees":9,"offices":1},{"filedOn":"2023-05-01","regulatoryAum":480797782,"clients":330,"employees":9,"offices":1},{"filedOn":"2024-07-19","regulatoryAum":552892135,"clients":331,"employees":9,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":612791505,"clients":347,"employees":9,"offices":1},{"filedOn":"2026-03-27","regulatoryAum":701681920,"clients":346,"employees":10,"offices":1}],"secFileNumber":"801-115031","legalName":"Preisz 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2019","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":631965.6106557377,"staff":{"employees":10,"advisory":8,"brokerDealerReps":8,"insuranceAgents":8,"promoters":0},"aum":{"regulatory":701681920,"discretionary":410250889,"discretionaryAccounts":106,"nonDiscretionary":291431031,"nonDiscretionaryAccounts":246,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":195,"regulatoryAum":61226297},{"label":"High-net-worth individuals","clients":49,"regulatoryAum":92973312},{"label":"Pension and profit-sharing plans","clients":102,"regulatoryAum":547482311}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"John Hancock Investment Management Distributors LLC","shortName":"John Hancock Investment Management Distributors","location":"Boston, MA","smaAssets":106704997},{"name":"Empower Financial Services, Inc.","shortName":"Empower","location":"Greenwood Village, CO","smaAssets":141112207},{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Fort Mill, SC","smaAssets":142809426},{"name":"The Standard","shortName":"The Standard","location":"Portland, OR","smaAssets":62944002}],"custodyNote":"Preisz Associates has custody of $199M for 322 clients.","otherCustodians":[],"leadership":[{"name":"Michael Preisz","title":"President","crd":"1722796"},{"name":"Thomas Davenport","title":"Chief Investment Officer, Shareholder","crd":"5075210"},{"name":"William Preisz","title":"CCO/Director, Retirement Plan Services, Shareholder","crd":"6855850"}],"ownership":[{"label":"Michael Preisz","detail":"President in the 50% to 75% ownership band and a control person, since June 2000."},{"label":"Thomas Davenport","detail":"Chief investment officer, shareholder in the 10% to 25% ownership band and a control person, since December 2018."},{"label":"William Preisz","detail":"Cco/director, retirement plan services, shareholder in the 10% to 25% ownership band and a control person, since December 2018."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Oregon","offices":1,"addresses":[{"street":"4525 SW Condor Ave","city":"Portland","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"503-224-1600","stateRegisteredReps":9,"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","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"26-50","assetMix":[{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":95},{"label":"Cash and cash equivalents","percent":4},{"label":"Other","percent":1,"detail":"Fractionalized Percentages of Other Categories Other Than the Two Listed Above."}],"privateFunds":0},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/144469/PDF/144469.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Preisz Associates have?","answer":"Preisz Associates has 346 clients and manages $702 million for them, as of March 2026. They include 195 individual clients, 102 pension and profit-sharing plans, and 49 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Preisz Associates offer?","answer":"Preisz Associates provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, and educational seminars.","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 Preisz Associates use?","answer":"Preisz Associates’ separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $143M, Empower Financial Services, Inc. (Greenwood Village, CO), with $141M, John Hancock Investment Management Distributors LLC (Boston, MA), with $107M and The Standard (Portland, OR), with $62.9M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Preisz Associates have?","answer":"Preisz Associates has 9 investment adviser representatives registered with state securities authorities, out of 10 employees, and 8 perform investment advisory functions. 8 employees are registered representatives of a broker-dealer and 8 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 Preisz Associates invest in?","answer":"At the end of its last fiscal year, Preisz Associates’ separately managed accounts held 95% pooled vehicles (private funds and similar), 4% cash and equivalents and 1% other. The 1% other category is described as: Fractionalized Percentages of Other Categories Other Than the Two Listed Above.","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 Preisz Associates?","answer":"Preisz Associates’ direct owners are Michael Preisz (50% to 75%), Thomas Davenport (10% to 25%) and William Preisz (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Preisz Associates get paid?","answer":"Preisz Associates 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":"How do I contact Preisz Associates?","answer":"Preisz Associates’ main office is at 4525 SW Condor Ave, Portland, OR 97239. Its phone number is 503-224-1600. Its website is preisz.com.","source":"Form ADV Part 1A, Item 1.F, filed 27 March 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."}