{"url":"https://nivawealth.com/firms/ridgegate-advisors-334233","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/334233","regulatoryAum":118964626,"crd":"334233","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6946354","suffix":null,"lastName":"Benson","firstName":"Coleman","middleName":"Anthony"},{"crd":"4453653","suffix":null,"lastName":"Rogers","firstName":"Christopher","middleName":"Glenn"},{"crd":"4844156","suffix":null,"lastName":"Smith","firstName":"George","middleName":"Wallace"},{"crd":"6320473","suffix":"IV","lastName":"Smith","firstName":"George","middleName":"W"},{"crd":"7138977","suffix":"JR.","lastName":"SNECKNER","firstName":"WILLIAM","middleName":"KENDRICK"},{"crd":"7171282","suffix":null,"lastName":"Staverosky","firstName":"Alexander","middleName":null},{"crd":"4754086","suffix":null,"lastName":"Swenson","firstName":"David","middleName":"L."}],"total":7,"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":"2025-07-21","regulatoryAum":0,"clients":0,"employees":11,"offices":1},{"filedOn":"2026-03-25","regulatoryAum":118964626,"clients":206,"employees":11,"offices":1}],"secFileNumber":"801-133986","legalName":"Ridgegate 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Fees","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025585","versionId":1025585,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-25","documentName":"RIDGEGATE ADV 2A","fee_rate_low":null,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":500000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Fees","summary":"Financial planning fees begin at $1,250 and are agreed in advance in each client's planning agreement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025585","versionId":1025585,"submittedOn":"2026-03-25","documentName":"RIDGEGATE ADV 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T17:55:33.634363+00:00","documents":[{"name":"RIDGEGATE ADV 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025585","versionId":1025585,"submittedOn":"2026-03-25"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":97733714},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":21230915}],"custodyNote":"Ridgegate Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"George Smith","title":"CEO/CCO","crd":"4844156"}],"ownership":[{"label":"George Smith","detail":"Ceo/cco in the 75% or more ownership band and a control person, since December 2022."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"8310 S Valley Highway, Suite 480","city":"Englewood","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"303-791-2253","stateRegisteredReps":7,"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"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":28},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":66},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"25 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/334233/PDF/334233.pdf","brochureDate":"25 March 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They include 172 individual clients, 27 high-net-worth individuals, and 4 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ridgegate Advisors offer?","answer":"Ridgegate Advisors 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":"How much does Ridgegate Advisors charge?","answer":"Ridgegate Advisors charges up to 2.00% a year for its Investment Management Fees. The fee is billed in arrears, is negotiable and requires an account of at least $500,000.","source":"RIDGEGATE ADV 2A, filed 25 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Ridgegate Advisors use?","answer":"Ridgegate Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $97.7M and Fidelity Brokerage Services LLC (Smithfield, RI), with $21.2M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Ridgegate Advisors have?","answer":"Ridgegate Advisors has 7 investment adviser representatives registered with state securities authorities, out of 11 employees, and 7 perform investment advisory functions. 7 employees are registered representatives of a broker-dealer and 7 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 Ridgegate Advisors invest in?","answer":"At the end of its last fiscal year, Ridgegate Advisors’ separately managed accounts held 66% registered funds (mutual funds, ETFs, BDCs), 28% exchange-traded equities, 5% cash and equivalents and 1% non-exchange-traded equities.","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 Ridgegate Advisors have a minimum investment?","answer":"Yes, Ridgegate Advisors’ minimum account size for its Investment Management Fees is $500K.","source":"RIDGEGATE ADV 2A, filed 25 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Ridgegate Advisors?","answer":"Ridgegate Advisors’ direct owner is George Smith (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ridgegate Advisors get paid?","answer":"Ridgegate Advisors 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 Ridgegate Advisors?","answer":"Ridgegate Advisors’ main office is at 8310 S Valley Highway, Suite 480, Englewood, CO 80112. Its phone number is 303-791-2253. Its website is ridgegatefinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 25 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."}