{"url":"https://nivawealth.com/firms/sequoia-wealth-management-170543","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/170543","regulatoryAum":599623650,"crd":"170543","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2295408","suffix":null,"lastName":"ANDREWS","firstName":"DAVID","middleName":"LAWRENCE"},{"crd":"6023520","suffix":null,"lastName":"BALDASSANO","firstName":"ANTHONY","middleName":"JOSEPH"},{"crd":"5958698","suffix":null,"lastName":"BRAGMAN","firstName":"DAVID","middleName":"ERIC"},{"crd":"1704025","suffix":"MR.","lastName":"ENGELS","firstName":"ROBERT","middleName":"ARTHUR"},{"crd":"1217847","suffix":"MR.","lastName":"HISER","firstName":"GENE","middleName":"TAYLOR"},{"crd":"1254886","suffix":null,"lastName":"IEUTER","firstName":"CHARLES","middleName":"RICHARDSON"},{"crd":"3185064","suffix":null,"lastName":"KOSMER","firstName":"JOHN","middleName":"JAMES"},{"crd":"6800182","suffix":null,"lastName":"Lyman","firstName":"Patrick","middleName":"Dennis"},{"crd":"1184978","suffix":"JR","lastName":"LYMAN","firstName":"ROBERT","middleName":"DENNIS"},{"crd":"6196319","suffix":null,"lastName":"LYMAN","firstName":"SEAN","middleName":null},{"crd":"2216510","suffix":null,"lastName":"MELKA","firstName":"CHARLES","middleName":"PHILLIP"},{"crd":"2661569","suffix":null,"lastName":"MURPHY","firstName":"JULIE","middleName":"MARIE"},{"crd":"4218727","suffix":null,"lastName":"MURPHY","firstName":"MARK","middleName":"JOSEPH"},{"crd":"1944448","suffix":null,"lastName":"O'DONNELL","firstName":"TIMOTHY","middleName":"EDWARD"},{"crd":"5440511","suffix":null,"lastName":"SCOBY","firstName":"EDWARD","middleName":"VERNON"},{"crd":"2158487","suffix":null,"lastName":"ZARKIN","firstName":"LISA","middleName":"P"}],"total":16,"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":"2021-06-21","regulatoryAum":459829842,"clients":2433,"employees":25,"offices":12},{"filedOn":"2022-04-01","regulatoryAum":496096039,"clients":2434,"employees":22,"offices":13},{"filedOn":"2023-07-13","regulatoryAum":438177764,"clients":1995,"employees":22,"offices":12},{"filedOn":"2024-03-13","regulatoryAum":457188363,"clients":1516,"employees":20,"offices":11},{"filedOn":"2025-07-14","regulatoryAum":514331206,"clients":1550,"employees":16,"offices":13},{"filedOn":"2026-03-12","regulatoryAum":599623650,"clients":1640,"employees":16,"offices":10}],"secFileNumber":"801-80362","legalName":"Sequoia Wealth Management, LLC","displayName":"Sequoia Wealth Management","slug":"sequoia-wealth-management-170543","website":"https://sequoiafinancialplanning.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/sequoia-financial-planning/?viewAsMember=true","founded":null,"organization":"Illinois limited liability company","fiscalYearEnd":"December","headquarters":{"street":"200 Applebee St, Suite 208","city":"Barrington","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60010"},"tradeNames":["Anderson Investment Consulting & Services","CPM Financial Services","Deb Financial","Ironwood Family Wealth Advisors","JMC Wealth Management","Ode Financial Services","Plansmart Financial Services","Regency Wealth Management","Sequoia Financial Planning","Sequoia Wealth Management"],"registration":{"secApproved":"1 October 2014","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":365624.1768292683,"staff":{"employees":16,"advisory":16,"brokerDealerReps":15,"insuranceAgents":12,"promoters":0},"aum":{"regulatory":599623650,"discretionary":227334556,"discretionaryAccounts":1088,"nonDiscretionary":372289094,"nonDiscretionaryAccounts":1804,"wrapProgram":593024021,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":1548,"regulatoryAum":418402495},{"label":"High-net-worth individuals","clients":92,"regulatoryAum":181221155}],"feePrograms":[{"role":"other","program":"Financial Planning and Consulting","summary":"Financial planning and consulting are billed hourly at a maximum of $500, or as a flat fee from $500 to $25,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017922","versionId":1017922,"submittedOn":"2026-03-12","documentName":"FORM ADV PART 2A - 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They include 1,548 individual clients and 92 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sequoia Wealth Management offer?","answer":"Sequoia Wealth Management provides financial planning, portfolio management for individuals and small businesses, and educational seminars.","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 Sequoia Wealth Management use?","answer":"Sequoia Wealth Management’s separately managed account assets are held at Assetmark Brokerage, LLC (Concord, CA), with $361M and LPL Financial LLC (Boston, MA), with $227M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sequoia Wealth Management have?","answer":"Sequoia Wealth Management has 16 investment adviser representatives registered with state securities authorities, out of 16 employees, and 16 perform investment advisory functions. 15 employees are registered representatives of a broker-dealer and 12 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 Sequoia Wealth Management invest in?","answer":"At the end of its last fiscal year, Sequoia Wealth Management’s separately managed accounts held 44% registered funds (mutual funds, ETFs, BDCs), 38% exchange-traded equities, 14% U.S. government and agency bonds and 4% state and local 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 Sequoia Wealth Management?","answer":"Sequoia Wealth Management’s direct owner is Robert Lyman (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sequoia Wealth Management get paid?","answer":"Sequoia Wealth Management 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 Sequoia Wealth Management?","answer":"Sequoia Wealth Management’s main office is at 200 Applebee St, Suite 208, Barrington, IL 60010. Its phone number is 847-310-5900. Its website is sequoiafinancialplanning.com.","source":"Form ADV Part 1A, Item 1.F, filed 12 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."}