{"url":"https://nivawealth.com/firms/schauer-investment-management-283119","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/283119","regulatoryAum":119744010,"crd":"283119","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7984481","suffix":null,"lastName":"Fowls","firstName":"William","middleName":"Christian"},{"crd":"2554382","suffix":null,"lastName":"SCHAUER","firstName":"CRAIG","middleName":null},{"crd":"7320212","suffix":null,"lastName":"Schauer","firstName":"Kyle","middleName":"James"}],"total":3,"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"},"secFileNumber":"801-136765","legalName":"Schauer Investment Management, Inc.","displayName":"Schauer Investment Management","slug":"schauer-investment-management-283119","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"17024 Lassen St","city":"Northridge","state":"CA","stateName":"California","country":"United States","postalCode":"91325"},"tradeNames":[],"registration":{"secApproved":"17 July 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":4989333.75,"staff":{"employees":4,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":119744010,"discretionary":119744010,"discretionaryAccounts":37,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":8,"regulatoryAum":4263404},{"label":"High-net-worth individuals","clients":16,"regulatoryAum":115480606}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T15:24:00.862713+00:00","documents":[{"name":"ADV PART 2A- SCHAUER INVESTMENT MANAGEMENT, INC.","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048663","versionId":1048663,"submittedOn":"2026-06-17"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":104408919}],"custodyNote":"Schauer Investment Management has custody of $53M in client assets for 1 client.","otherCustodians":[],"leadership":[{"name":"Craig Schauer","title":"President, CEO, CCO","crd":"2554382"},{"name":"Kyle Schauer","title":"Owner","crd":"7320212"}],"ownership":[{"label":"Craig Schauer","detail":"President, ceo, cco in the 50% to 75% ownership band and a control person, since February 2016."},{"label":"Kyle Schauer","detail":"Owner in the 25% to 50% ownership band and a control person, since January 2022."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"17024 Lassen St","city":"Northridge","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"818-727-9960","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":44},{"label":"U.S. government/agency bonds","percent":50},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":4,"detail":"Trust Deeds"}],"privateFunds":1},"sources":{"adv1FilingDate":"17 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/283119/PDF/283119.pdf","brochureDate":"17 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048663","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 Schauer Investment Management have?","answer":"Schauer Investment Management has 24 clients and manages $120 million for them, as of August 2026. They include 16 high-net-worth individuals and 8 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 17 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Schauer Investment Management offer?","answer":"Schauer Investment Management provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and portfolio management for institutions.","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 Schauer Investment Management use?","answer":"Schauer Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $104M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Schauer Investment Management have?","answer":"Schauer Investment Management has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 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 Schauer Investment Management invest in?","answer":"At the end of its last fiscal year, Schauer Investment Management’s separately managed accounts held 50% U.S. government and agency bonds, 44% exchange-traded equities, 4% other and 2% cash and equivalents. The 4% other category is described as: Trust Deeds. It advises 1 private fund.","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 Schauer Investment Management?","answer":"Schauer Investment Management’s direct owners are Craig Schauer (50% to 75%) and Kyle Schauer (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 17 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Schauer Investment Management get paid?","answer":"Schauer Investment Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions 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 Schauer Investment Management?","answer":"Schauer Investment Management’s main office is at 17024 Lassen St, Northridge, CA 91325. Its phone number is 818-727-9960.","source":"Form ADV Part 1A, Item 1.F, filed 17 August 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."}