{"url":"https://nivawealth.com/firms/reservoir-retirement-management-293131","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/293131","regulatoryAum":208773942,"crd":"293131","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7180576","suffix":null,"lastName":"Goetz","firstName":"Shawn","middleName":"C"},{"crd":"4844150","suffix":null,"lastName":"WALSH","firstName":"JARED","middleName":"THOMAS"}],"total":2,"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":"2022-03-01","regulatoryAum":130352740,"clients":393,"employees":2,"offices":1},{"filedOn":"2023-02-07","regulatoryAum":126351878,"clients":440,"employees":2,"offices":1},{"filedOn":"2024-02-02","regulatoryAum":151620260,"clients":456,"employees":2,"offices":1},{"filedOn":"2025-02-26","regulatoryAum":175978226,"clients":456,"employees":2,"offices":1},{"filedOn":"2026-02-18","regulatoryAum":208773942,"clients":460,"employees":2,"offices":1}],"secFileNumber":"801-122212","legalName":"Reservoir Retirement Management, LLC","displayName":"Reservoir Retirement Management","slug":"reservoir-retirement-management-293131","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Ohio limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2100 Lost Creek Boulevard","city":"Lima","state":"OH","stateName":"Ohio","country":"United States","postalCode":"45804"},"tradeNames":[],"registration":{"secApproved":"30 August 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":388838.700913242,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":208773942,"discretionary":179250783,"discretionaryAccounts":724,"nonDiscretionary":29523159,"nonDiscretionaryAccounts":163,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":357,"regulatoryAum":60982911},{"label":"High-net-worth individuals","clients":81,"regulatoryAum":109328440},{"label":"Pension and profit-sharing plans","clients":8,"regulatoryAum":30248540},{"label":"Corporations and other businesses","clients":14,"regulatoryAum":8214051}],"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=1010005","versionId":1010005,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-02-18","documentName":"FORM ADV PART 2A 2B","fee_rate_low":0.75,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Comprehensive Financial Planning","summary":"Comprehensive financial planning is a $250 upfront charge plus $50 to $600 a month in arrears, based on complexity; the fee may be negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010005","versionId":1010005,"submittedOn":"2026-02-18","documentName":"FORM ADV PART 2A 2B"},{"role":"other","program":"Employee Benefit Plan Services","summary":"Plan services are charged on plan assets at 0.75% up to $3,000,000, stepping down to 0.25% above $10,000,000, and not to exceed 1.00% of total plan assets.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010005","versionId":1010005,"submittedOn":"2026-02-18","documentName":"FORM ADV PART 2A 2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:00:21.275049+00:00","documents":[{"name":"FORM ADV PART 2A 2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010005","versionId":1010005,"submittedOn":"2026-02-18"}]},"custodians":[{"name":"Capital Client Group, Inc.","shortName":"Capital Client Group","location":"Los Angeles, CA","smaAssets":47674026},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":161099916}],"custodyNote":"Reservoir Retirement Management has custody of $85.8M for 151 clients.","otherCustodians":[],"leadership":[{"name":"Jared Walsh","title":"Managing Partner, CCO","crd":"4844150"}],"ownership":[{"label":"Jared Walsh","detail":"Managing partner, cco in the 75% or more ownership band and a control person, since January 2005."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Ohio","offices":1,"addresses":[{"street":"2100 Lost Creek Boulevard","city":"Lima","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"567-289-2100","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Other"],"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"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":65},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":33},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"18 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/293131/PDF/293131.pdf","brochureDate":"18 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010005","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 Reservoir Retirement Management have?","answer":"Reservoir Retirement Management has 460 clients and manages $209 million for them, as of February 2026. They include 357 individual clients, 81 high-net-worth individuals, and 14 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Reservoir Retirement Management offer?","answer":"Reservoir Retirement Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.","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 Reservoir Retirement Management charge?","answer":"Reservoir Retirement Management charges 0.75%–1.25% a year for its Investment Management Services. The fee is billed in arrears and is negotiable.","source":"FORM ADV PART 2A 2B, filed 18 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Reservoir Retirement Management use?","answer":"Reservoir Retirement Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $161M and Capital Client Group, Inc. (Los Angeles, CA), with $47.7M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Reservoir Retirement Management have?","answer":"Reservoir Retirement Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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 Reservoir Retirement Management invest in?","answer":"At the end of its last fiscal year, Reservoir Retirement Management’s separately managed accounts held 65% exchange-traded equities, 33% registered funds (mutual funds, ETFs, BDCs), 1% U.S. government and agency bonds and 1% 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 Reservoir Retirement Management?","answer":"Reservoir Retirement Management’s direct owner is Jared Walsh (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 18 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Reservoir Retirement Management get paid?","answer":"Reservoir Retirement Management is paid through a percentage of assets under management, hourly charges and other compensation. 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 Reservoir Retirement Management?","answer":"Reservoir Retirement Management’s main office is at 2100 Lost Creek Boulevard, Lima, OH 45804. Its phone number is 567-289-2100.","source":"Form ADV Part 1A, Item 1.F, filed 18 February 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."}