{"url":"https://nivawealth.com/firms/prince-asset-management-141567","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/141567","regulatoryAum":137697000,"crd":"141567","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2032774","suffix":null,"lastName":"CZERNIAK","firstName":"RICHARD","middleName":"MICHAEL"},{"crd":"8210492","suffix":null,"lastName":"Hall","firstName":"Katie","middleName":"Marie"},{"crd":"7471369","suffix":null,"lastName":"STOCHL","firstName":"MELISSA","middleName":"M."}],"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":"2024-06-18","regulatoryAum":112429440,"clients":124,"employees":2,"offices":1},{"filedOn":"2025-03-29","regulatoryAum":122700508,"clients":132,"employees":2,"offices":1},{"filedOn":"2026-03-20","regulatoryAum":137697000,"clients":138,"employees":3,"offices":1}],"secFileNumber":"801-130425","legalName":"Prince Asset Management, Inc.","displayName":"Prince Asset Management","slug":"prince-asset-management-141567","website":"https://princeassetmanagement.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/141567/3d32b2d499103356-r1.webp","tone":"light","width":2925,"height":200,"sourceUrl":"https://www.princeassetmanagement.com/","sourceLabel":"Prince Asset Management, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Florida corporation","fiscalYearEnd":"December","headquarters":{"street":"2033 Main Street, Suite 303","city":"Sarasota","state":"FL","stateName":"Florida","country":"United States","postalCode":"34237"},"tradeNames":[],"registration":{"secApproved":"5 June 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1002305.9701492537,"staff":{"employees":3,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":137697000,"discretionary":137697000,"discretionaryAccounts":271,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":99,"regulatoryAum":38189000},{"label":"High-net-worth individuals","clients":35,"regulatoryAum":96120000},{"label":"Pension and profit-sharing plans","clients":2,"regulatoryAum":138000},{"label":"Corporations and other businesses","clients":2,"regulatoryAum":3250000}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022836","versionId":1022836,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-20","documentName":"PRINCE ASSET MANAGEMENT SEC BROCHURE","fee_rate_low":1,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":500000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Held-away account management","summary":"Accounts held away from the firm and managed through Pontera: an annual fee of 1.25% of market value, negotiable; the firm pays 0.25% of that fee to Pontera.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022836","versionId":1022836,"submittedOn":"2026-03-20","documentName":"PRINCE ASSET MANAGEMENT SEC BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:28:41.935219+00:00","documents":[{"name":"PRINCE ASSET MANAGEMENT SEC BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022836","versionId":1022836,"submittedOn":"2026-03-20"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":137697000}],"custodyNote":"Prince Asset Management has custody of $70.1M for 74 clients.","otherCustodians":[],"leadership":[{"name":"Richard Czerniak","title":"President & Chief Compliance Officer","crd":"2032774"}],"ownership":[{"label":"Richard Czerniak","detail":"President & chief compliance officer in the 75% or more ownership band and a control person, since March 1998."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"2033 Main Street, Suite 303","city":"Sarasota","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"941-363-9090","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":54},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":31},{"label":"Cash and cash equivalents","percent":12}],"privateFunds":0},"sources":{"adv1FilingDate":"20 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/141567/PDF/141567.pdf","brochureDate":"20 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022836","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 Prince Asset Management have?","answer":"Prince Asset Management has 138 clients and manages $138 million for them, as of March 2026. They include 99 individual clients, 35 high-net-worth individuals, and 2 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Prince Asset Management offer?","answer":"Prince Asset Management provides 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 much does Prince Asset Management charge?","answer":"Prince Asset Management charges 1.00% a year for its Investment Management Services. The fee is billed in advance, is negotiable and requires an account of at least $500,000.","source":"PRINCE ASSET MANAGEMENT SEC BROCHURE, filed 20 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Prince Asset Management use?","answer":"Prince Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $138M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Prince Asset Management have?","answer":"Prince Asset 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 Prince Asset Management invest in?","answer":"At the end of its last fiscal year, Prince Asset Management’s separately managed accounts held 54% exchange-traded equities, 31% registered funds (mutual funds, ETFs, BDCs), 12% cash and equivalents, 1% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate bonds.","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":"Does Prince Asset Management have a minimum investment?","answer":"Yes, Prince Asset Management’s minimum account size for its Investment Management Services is $500K.","source":"PRINCE ASSET MANAGEMENT SEC BROCHURE, filed 20 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Prince Asset Management?","answer":"Prince Asset Management’s direct owner is Richard Czerniak (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 20 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Prince Asset Management get paid?","answer":"Prince Asset Management 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 Prince Asset Management?","answer":"Prince Asset Management’s main office is at 2033 Main Street, Suite 303, Sarasota, FL 34237. Its phone number is 941-363-9090. Its website is princeassetmanagement.com.","source":"Form ADV Part 1A, Item 1.F, filed 20 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."}