{"url":"https://nivawealth.com/firms/reagan-companies-asset-management-161648","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/161648","regulatoryAum":1160784261,"crd":"161648","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8157789","suffix":null,"lastName":"Ciota","firstName":"Ethan","middleName":"Robert"},{"crd":"6455605","suffix":null,"lastName":"ESFORD","firstName":"DANIEL","middleName":"JOSEPH"},{"crd":"4635464","suffix":null,"lastName":"HAAHR","firstName":"DAVID","middleName":null},{"crd":"2391015","suffix":null,"lastName":"REAGAN","firstName":"RICHARD","middleName":"PAUL"},{"crd":"6277968","suffix":null,"lastName":"RIGGI","firstName":"CHRISTOPHER","middleName":"P."}],"total":5,"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":"2021-05-17","regulatoryAum":616957721,"clients":574,"employees":7,"offices":1},{"filedOn":"2022-03-04","regulatoryAum":758901164,"clients":630,"employees":7,"offices":1},{"filedOn":"2023-07-20","regulatoryAum":727795119,"clients":664,"employees":7,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":818070197,"clients":691,"employees":7,"offices":1},{"filedOn":"2025-07-18","regulatoryAum":992298797,"clients":738,"employees":8,"offices":1},{"filedOn":"2026-06-23","regulatoryAum":1160784261,"clients":780,"employees":9,"offices":1}],"secFileNumber":"801-78452","legalName":"Reagan 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2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T07:02:26.124654+00:00","documents":[{"name":"ADV FORM 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048163","versionId":1048163,"submittedOn":"2026-06-11"}]},"custodians":[{"name":"Hand Benefits & Trust","shortName":"Hand Benefits & Trust","location":"Utica, NY","smaAssets":257079296},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":892800043}],"custodyNote":"Reagan Companies Asset Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Richard Reagan","title":"President","crd":"2391015"},{"name":"David Haahr","title":"Chief Operating Officer","crd":"4635464"},{"name":"Michelle Cathcart","title":"Chief","crd":"8191507"}],"ownership":[{"label":"Richard Reagan","detail":"President in the 75% or more ownership band and a control person, since January 2014."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"443 N Franklin St, Suite 220","city":"Syracuse","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"315-673-2094","stateRegisteredReps":5,"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)","Educational seminars/workshops"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":13},{"label":"Investment grade corporate bonds","percent":13},{"label":"Securities issued by registered investment companies or business development companies","percent":71},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"23 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/161648/PDF/161648.pdf","brochureDate":"11 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048163","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 Reagan Companies Asset Management have?","answer":"Reagan Companies Asset Management has 780 clients and manages $1.16 billion for them, as of June 2026. They include 479 individual clients, 285 high-net-worth individuals, and 16 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Reagan Companies Asset Management offer?","answer":"Reagan Companies Asset Management provides financial planning, portfolio management for individuals and small businesses, 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":"How much does Reagan Companies Asset Management charge?","answer":"Reagan Companies Asset Management charges 0.50%–1.00% a year for its Investment Supervisory Services. Each asset band is charged at its own rate. The fee is negotiable.","source":"ADV FORM 2A, filed 11 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Reagan Companies Asset Management use?","answer":"Reagan Companies Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $893M and Hand Benefits & Trust (Utica, NY), with $257M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Reagan Companies Asset Management have?","answer":"Reagan Companies Asset Management has 5 investment adviser representatives registered with state securities authorities, out of 9 employees, and 5 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 Reagan Companies Asset Management invest in?","answer":"At the end of its last fiscal year, Reagan Companies Asset Management’s separately managed accounts held 71% registered funds (mutual funds, ETFs, BDCs), 13% exchange-traded equities, 13% investment grade corporate bonds 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 Reagan Companies Asset Management?","answer":"Reagan Companies Asset Management’s direct owner is Richard Reagan (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Reagan Companies Asset Management get paid?","answer":"Reagan Companies Asset 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":"How do I contact Reagan Companies Asset Management?","answer":"Reagan Companies Asset Management’s main office is at 443 N Franklin St, Suite 220, Syracuse, NY 13204. Its phone number is 315-673-2094.","source":"Form ADV Part 1A, Item 1.F, filed 23 June 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."}