{"url":"https://nivawealth.com/firms/secfi-advisory-limited-306961","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/306961","regulatoryAum":225867055,"crd":"306961","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6624684","suffix":null,"lastName":"Allred","firstName":"Michael","middleName":"Lavere"},{"crd":"6480599","suffix":null,"lastName":"KLINGLER","firstName":"JOHN","middleName":null},{"crd":"5574272","suffix":null,"lastName":"MORRISON","firstName":"JOHN","middleName":"A"}],"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"},"history":[{"filedOn":"2022-06-02","regulatoryAum":84250000,"clients":2,"employees":10,"offices":3},{"filedOn":"2023-08-02","regulatoryAum":92770000,"clients":7,"employees":15,"offices":3},{"filedOn":"2024-04-30","regulatoryAum":156316189,"clients":139,"employees":15,"offices":3},{"filedOn":"2025-06-03","regulatoryAum":174020811,"clients":88,"employees":16,"offices":3},{"filedOn":"2026-06-30","regulatoryAum":225867055,"clients":55,"employees":15,"offices":2}],"secFileNumber":"801-126017","legalName":"Secfi Advisory Limited","displayName":"Secfi Advisory Limited","slug":"secfi-advisory-limited-306961","website":"https://secfi.com/","classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"linkedinUrl":"https://linkedin.com/company/secfiinc","xUrl":"https://twitter.com/asksecfi","founded":null,"organization":"corporation organized in Cayman Islands","fiscalYearEnd":"December","headquarters":{"street":"25 Broadway, 10th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10004"},"tradeNames":["Secfi","Secfi Wealth"],"registration":{"secApproved":"7 July 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":872317.431372549,"staff":{"employees":15,"advisory":9,"brokerDealerReps":6,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":225867055,"discretionary":175614055,"discretionaryAccounts":53,"nonDiscretionary":50253000,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":7,"nonAumClients":5},"clientTypes":[{"label":"Individuals (other than HNW)","clients":51,"regulatoryAum":44488189},{"label":"Pooled investment vehicles","clients":4,"regulatoryAum":181378866}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Altruist Financial LLC","shortName":"Altruist","location":"Culver City, CA","smaAssets":40858814}],"custodyNote":"Secfi Advisory Limited has custody of $144M for 2 clients.","otherCustodians":[],"leadership":[{"name":"Jaime Moreno De Los Rios","title":"Chief Operating Officer","crd":"6316551"},{"name":"Michelle Marwaha","title":"Chief Compliance Officer","crd":"6913305"},{"name":"Frederik Mijnhardt","title":"Director","crd":"7057943"}],"ownership":[{"label":"Secfi, Inc.","detail":"Sole shareholder in the 75% or more ownership band and a control person, since February 2018."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[{"city":"AMSTERDAM","country":"Netherlands","postalCode":"1011 AC","street":"DE RUIJTERKADE 143","display":{"city":"AMSTERDAM","region":null,"postalCode":"1011 AC","ruleVersion":"office-display-1"}}],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"25 Broadway, 10th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"707-652-9961","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":92},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Cash and cash equivalents","percent":7}],"privateFunds":3},"sources":{"adv1FilingDate":"30 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/306961/PDF/306961.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Secfi Advisory Limited have?","answer":"Secfi Advisory Limited has 55 clients and manages $226 million for them, as of June 2026. They include 51 individuals and 4 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Secfi Advisory Limited offer?","answer":"Secfi Advisory Limited provides financial planning, portfolio management for individuals and small businesses, and portfolio management for pooled vehicles.","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 Secfi Advisory Limited use?","answer":"Secfi Advisory Limited’s separately managed account assets are held at Altruist Financial LLC (Culver City, CA), with $40.9M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Secfi Advisory Limited have?","answer":"Secfi Advisory Limited has 6 investment adviser representatives registered with state securities authorities, out of 15 employees, and 9 perform investment advisory functions. 6 employees are registered representatives of a broker-dealer and 0 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 Secfi Advisory Limited invest in?","answer":"At the end of its last fiscal year, Secfi Advisory Limited’s separately managed accounts held 92% exchange-traded equities, 7% cash and equivalents and 1% registered funds (mutual funds, ETFs, BDCs). It advises 3 private funds.","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 Secfi Advisory Limited?","answer":"Secfi Advisory Limited’s direct owner is Secfi, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Secfi Advisory Limited get paid?","answer":"Secfi Advisory Limited is paid through a percentage of assets under management, fixed fees 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 Secfi Advisory Limited?","answer":"Secfi Advisory Limited’s main office is at 25 Broadway, 10th Floor, New York, NY 10004. Its phone number is 707-652-9961. Its website is secfi.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 June 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."}