{"url":"https://nivawealth.com/firms/resnick-wealth-alliance-316188","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/316188","regulatoryAum":121055017,"crd":"316188","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4403299","suffix":null,"lastName":"RESNICK","firstName":"MONTE","middleName":"IVAN"},{"crd":"4396546","suffix":null,"lastName":"REY 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LLC ADV BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T17:02:59.390869+00:00","documents":[{"name":"RESNICK WEALTH ALLIANCE, LLC ADV BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020104","versionId":1020104,"submittedOn":"2026-03-17"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":121055017}],"custodyNote":"Resnick Wealth Alliance does not have custody of client assets.","leadership":[{"name":"Monte Resnick","title":"CEO/CCO","crd":"4403299"}],"ownership":[{"label":"Resnick Global Holdings, LLC","detail":"Managing member in the 75% or more ownership band and a control person, since August 2020."},{"label":"Monte Resnick","detail":"Indirect owner: a managing member of Resnick Global Holdings, LLC in the 75% or more band and a control person, since August 2020.","parent":"Resnick Global Holdings, LLC"}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"4400 Pga Boulevard, Suite 404","city":"Palm Beach Gardens","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"561-453-1120","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":46},{"label":"U.S. government/agency bonds","percent":6},{"label":"Investment grade corporate bonds","percent":4},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":35},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":7}],"privateFunds":0},"sources":{"adv1FilingDate":"28 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/316188/PDF/316188.pdf","brochureDate":"17 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020104","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 Resnick Wealth Alliance have?","answer":"Resnick Wealth Alliance has 62 clients and manages $121 million for them, as of May 2026. They include 36 high-net-worth individuals, 17 individual clients, and 7 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Resnick Wealth Alliance offer?","answer":"Resnick Wealth Alliance provides financial planning and 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":"Which custodians does Resnick Wealth Alliance use?","answer":"Resnick Wealth Alliance’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $121M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Resnick Wealth Alliance have?","answer":"Resnick Wealth Alliance 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 Resnick Wealth Alliance invest in?","answer":"At the end of its last fiscal year, Resnick Wealth Alliance’s separately managed accounts held 46% exchange-traded equities, 35% registered funds (mutual funds, ETFs, BDCs), 7% cash and equivalents, 6% U.S. government and agency bonds, 4% investment grade corporate bonds, 1% high-yield corporate bonds and 1% pooled vehicles (private funds and similar).","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 Resnick Wealth Alliance?","answer":"Resnick Wealth Alliance is owned through a holding company by Monte Resnick. Its direct owner is Resnick Global Holdings, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 28 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Resnick Wealth Alliance get paid?","answer":"Resnick Wealth Alliance is paid through a percentage of assets under management 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 Resnick Wealth Alliance registered with the SEC?","answer":"Yes, Resnick Wealth Alliance has been registered with the SEC as an investment adviser since 2 June 2022. Its CRD number is 316188 and its SEC file number is 801-125782.","source":"Form ADV Part 1A, Item 1, filed 28 May 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Resnick Wealth Alliance?","answer":"Resnick Wealth Alliance’s main office is at 4400 Pga Boulevard, Suite 404, Palm Beach Gardens, FL 33410. Its phone number is 561-453-1120. Its website is resnickwealthalliance.com.","source":"Form ADV Part 1A, Item 1.F, filed 28 May 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."}