{"url":"https://nivawealth.com/firms/quint-wealth-management-168463","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/168463","regulatoryAum":110371469,"crd":"168463","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2574360","suffix":null,"lastName":"CHRISTIANA","firstName":"JOSEPH","middleName":"FRANCIS"},{"crd":"7347333","suffix":null,"lastName":"Coenen","firstName":"Nancy","middleName":"A."},{"crd":"7743397","suffix":null,"lastName":"DiMaso","firstName":"Derek","middleName":"Jude"},{"crd":"4599538","suffix":null,"lastName":"GOODWIN","firstName":"DANIEL","middleName":"J"},{"crd":"7022147","suffix":null,"lastName":"KORMES","firstName":"JASON","middleName":null},{"crd":"6412215","suffix":null,"lastName":"PEPE","firstName":"WILLIAM","middleName":"J"},{"crd":"4024460","suffix":null,"lastName":"QUINT","firstName":"WAYNE","middleName":"RICHARD"},{"crd":"7707490","suffix":null,"lastName":"Zastenchik","firstName":"David","middleName":"Maurice"}],"total":8,"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":"2021-05-12","regulatoryAum":33647202,"clients":263,"employees":6,"offices":1},{"filedOn":"2022-03-17","regulatoryAum":41987763,"clients":297,"employees":5,"offices":1},{"filedOn":"2023-04-19","regulatoryAum":45660793,"clients":288,"employees":7,"offices":1},{"filedOn":"2024-03-18","regulatoryAum":55976194,"clients":340,"employees":7,"offices":1},{"filedOn":"2025-06-25","regulatoryAum":88515065,"clients":391,"employees":8,"offices":2},{"filedOn":"2026-09-04","regulatoryAum":110371469,"clients":412,"employees":9,"offices":2}],"secFileNumber":"801-118831","legalName":"Quint Wealth Management, Inc.","displayName":"Quint Wealth Management","slug":"quint-wealth-management-168463","website":"https://quintii.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"New York corporation","fiscalYearEnd":"December","headquarters":{"street":"210 New Hackensack Road","city":"Wappingers Falls","state":"NY","stateName":"New York","country":"United States","postalCode":"12590"},"tradeNames":["Hudson Valley Wealth Management Group"],"registration":{"secApproved":"1 June 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":256856.72040302266,"staff":{"employees":9,"advisory":8,"brokerDealerReps":0,"insuranceAgents":5,"promoters":0},"aum":{"regulatory":110371469,"discretionary":103602251,"discretionaryAccounts":761,"nonDiscretionary":6769218,"nonDiscretionaryAccounts":10,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":386,"regulatoryAum":80698268},{"label":"High-net-worth individuals","clients":11,"regulatoryAum":21273850},{"label":"Pension and profit-sharing plans","clients":9,"regulatoryAum":6631460},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":753601},{"label":"Corporations and other businesses","clients":4,"fewerThan5":true,"regulatoryAum":876532},{"label":"Other","clients":1,"fewerThan5":true,"regulatoryAum":137758}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057056","versionId":1057056,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-09-04","documentName":"ADV PART 2A QUINT INVESTMENTS AND INSURANCE","fee_rate_low":0.8,"fee_rate_high":1.4,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Fixed Financial Planning","summary":"Fixed-fee financial plans are priced between $350 and $1,500, paid entirely in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057056","versionId":1057056,"submittedOn":"2026-09-04","documentName":"ADV PART 2A QUINT INVESTMENTS AND INSURANCE"},{"role":"other","program":"Hourly Financial Planning","summary":"Hourly financial planning is billed at $200 to $300 an hour, with a deposit of up to $500 paid in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057056","versionId":1057056,"submittedOn":"2026-09-04","documentName":"ADV PART 2A QUINT INVESTMENTS AND INSURANCE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:45:51.225147+00:00","documents":[{"name":"ADV PART 2A QUINT INVESTMENTS AND INSURANCE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057056","versionId":1057056,"submittedOn":"2026-09-04"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057057","versionId":1057057,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":102164836}],"custodyNote":"Quint Wealth Management does not have custody of client assets.","leadership":[{"name":"Wayne Quint","title":"President","crd":"4024460"},{"name":"Joseph Christiana","title":"Chief Compliance Officer","crd":"2574360"}],"ownership":[{"label":"Wayne Quint","detail":"President in the 75% or more ownership band and a control person, since July 2013."}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"New York","offices":2,"addresses":[{"street":"210 New Hackensack Road","city":"Wappingers Falls","headquarters":true},{"street":"11 Raymond Avenue","city":"Poughkeepsie"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"845-345-3628","stateRegisteredReps":8,"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","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":38},{"label":"U.S. government/agency bonds","percent":3},{"label":"Investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":55},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"4 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/168463/PDF/168463.pdf","brochureDate":"4 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057056","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 Quint Wealth Management have?","answer":"Quint Wealth Management has 412 clients and manages $110 million for them, as of September 2026. They include 386 individual clients, 11 high-net-worth individuals, and 9 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 4 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Quint Wealth Management offer?","answer":"Quint Wealth Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, 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 Quint Wealth Management charge?","answer":"Quint Wealth Management charges 0.80%–1.40% a year for its Portfolio Management Services. The fee is billed in advance and is negotiable.","source":"ADV PART 2A QUINT INVESTMENTS AND INSURANCE, filed 4 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Quint Wealth Management use?","answer":"Quint Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $102M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Quint Wealth Management have?","answer":"Quint Wealth Management has 8 investment adviser representatives registered with state securities authorities, out of 9 employees, and 8 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 5 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 Quint Wealth Management invest in?","answer":"At the end of its last fiscal year, Quint Wealth Management’s separately managed accounts held 55% registered funds (mutual funds, ETFs, BDCs), 38% exchange-traded equities, 3% U.S. government and agency bonds, 2% investment grade corporate bonds and 2% 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 Quint Wealth Management?","answer":"Quint Wealth Management’s direct owner is Wayne Quint (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 4 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Quint Wealth Management get paid?","answer":"Quint Wealth Management 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":"Is Quint Wealth Management registered with the SEC?","answer":"Yes, Quint Wealth Management has been registered with the SEC as an investment adviser since 1 June 2020. Its CRD number is 168463 and its SEC file number is 801-118831.","source":"Form ADV Part 1A, Item 1, filed 4 September 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Quint Wealth Management?","answer":"Quint Wealth Management’s main office is at 210 New Hackensack Road, Wappingers Falls, NY 12590. Its phone number is 845-345-3628. Its website is quintii.com.","source":"Form ADV Part 1A, Item 1.F, filed 4 September 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."}