{"url":"https://nivawealth.com/firms/s-and-s-wealth-management-130652","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/130652","regulatoryAum":153785097,"crd":"130652","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3187874","suffix":null,"lastName":"FINLEY","firstName":"MICHAEL","middleName":"DOUGLAS"},{"crd":"6250805","suffix":null,"lastName":"KNOX","firstName":"PAULA","middleName":"TURNBULL"},{"crd":"2793307","suffix":null,"lastName":"SMITH","firstName":"STACEY","middleName":"LEIGH"},{"crd":"5590719","suffix":null,"lastName":"STRICKLAND","firstName":"GRAHAM","middleName":"MATTHEW"}],"total":4,"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":"2023-03-30","regulatoryAum":110079708,"clients":316,"employees":3,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":126942981,"clients":315,"employees":3,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":126023021,"clients":312,"employees":4,"offices":1},{"filedOn":"2026-04-01","regulatoryAum":153785097,"clients":315,"employees":3,"offices":1}],"secFileNumber":"801-126309","legalName":"S & S Wealth Management, L.P.","displayName":"S & S Wealth Management","slug":"s-and-s-wealth-management-130652","website":"https://sswmwealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Texas limited partnership","fiscalYearEnd":"December","headquarters":{"street":"2505 N. Highway 360, Suite 490","city":"Grand Prairie","state":"TX","stateName":"Texas","country":"United States","postalCode":"75050-7825"},"tradeNames":[],"registration":{"secApproved":"3 August 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":488206.65714285715,"staff":{"employees":3,"advisory":3,"brokerDealerReps":3,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":153785097,"discretionary":149827999,"discretionaryAccounts":779,"nonDiscretionary":3957098,"nonDiscretionaryAccounts":11,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":267,"regulatoryAum":59717404},{"label":"High-net-worth individuals","clients":48,"regulatoryAum":94067693}],"feePrograms":[{"role":"main","program":"Investment Supervisory Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035538","versionId":1035538,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-31","documentName":"ADV PART 2A 03/30/2021","fee_rate_low":0.6,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Personal money management counseling","summary":"Personal money management counseling and personal financial analysis are available for a fee, negotiated case by case depending on complexity and time required.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035538","versionId":1035538,"submittedOn":"2026-03-31","documentName":"ADV PART 2A 03/30/2021"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:04:46.667126+00:00","documents":[{"name":"ADV PART 2A 03/30/2021","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035538","versionId":1035538,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":113692187}],"custodyNote":"S & S Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Stacey Smith","title":"Chief Compliance Officer /Partner","crd":"2793307"}],"ownership":[{"label":"Stacey Smith","detail":"Chief compliance officer /partner in the 75% or more ownership band and a control person, since January 2004."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"2505 N. Highway 360, Suite 490","city":"Grand Prairie","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"817-276-8090","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Other"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":31},{"label":"U.S. government/agency bonds","percent":3},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":40},{"label":"Cash and cash equivalents","percent":26}],"privateFunds":0},"sources":{"adv1FilingDate":"1 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/130652/PDF/130652.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035538","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 S & S Wealth Management have?","answer":"S & S Wealth Management has 315 clients and manages $154 million for them, as of April 2026. They include 267 individual clients and 48 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does S & S Wealth Management offer?","answer":"S & S Wealth Management provides financial planning, portfolio management for individuals and small businesses, 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 S & S Wealth Management charge?","answer":"S & S Wealth Management charges 0.60%–1.00% a year for its Investment Supervisory Services. The fee is billed in arrears and is negotiable.","source":"ADV PART 2A 03/30/2021, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does S & S Wealth Management use?","answer":"S & S Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $114M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does S & S Wealth Management have?","answer":"S & S Wealth Management has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 3 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 S & S Wealth Management invest in?","answer":"At the end of its last fiscal year, S & S Wealth Management’s separately managed accounts held 40% pooled vehicles (private funds and similar), 31% exchange-traded equities, 26% cash and equivalents and 3% U.S. government and agency bonds.","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 S & S Wealth Management?","answer":"S & S Wealth Management’s direct owner is Stacey Smith (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does S & S Wealth Management get paid?","answer":"S & S Wealth Management is paid through a percentage of assets under management. 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 S & S Wealth Management?","answer":"S & S Wealth Management’s main office is at 2505 N. Highway 360, Suite 490, Grand Prairie, TX 75050-7825. Its phone number is 817-276-8090. Its website is sswmwealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 1 April 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."}