{"url":"https://nivawealth.com/firms/servatus-capital-311428","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/311428","regulatoryAum":110135315,"crd":"311428","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5367632","suffix":null,"lastName":"DUNN","firstName":"ROBERT","middleName":"DUFFY"},{"crd":"3232541","suffix":"JR","lastName":"STEPHEN","firstName":"DANIEL","middleName":"GERARD"}],"total":2,"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":"2025-03-31","regulatoryAum":109664510,"clients":25,"employees":2,"offices":2},{"filedOn":"2026-09-22","regulatoryAum":110135315,"clients":32,"employees":2,"offices":2}],"secFileNumber":"801-132631","legalName":"Servatus Capital, LLC","displayName":"Servatus Capital","slug":"servatus-capital-311428","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Florida limited liability company","fiscalYearEnd":"December","headquarters":{"street":"999 Vanderbilt Beach Road, Suite 707","city":"Naples","state":"FL","stateName":"Florida","country":"United States","postalCode":"34108"},"tradeNames":[],"registration":{"secApproved":"1 May 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":3020410.4137931033,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":2},"aum":{"regulatory":110135315,"discretionary":110135315,"discretionaryAccounts":100,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":12,"regulatoryAum":4268184},{"label":"High-net-worth individuals","clients":17,"regulatoryAum":83323718},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":947067},{"label":"Other investment advisers","clients":1,"fewerThan5":true,"regulatoryAum":20848555},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":747791}],"feePrograms":[{"role":"other","program":"Financial Planning","summary":"Financial planning engagements are a fixed project-based fee of $3,000 to $15,000, based on the complexity of the client profile and scope of services, due on plan delivery.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020604","versionId":1020604,"submittedOn":"2026-03-17","documentName":"SERVATUS CAPITAL FORM ADV PART 2"},{"role":"other","program":"Retirement Plan Services","summary":"Retirement plan services are charged at 0.50% annually, paid quarterly from the plan-level expense account.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020604","versionId":1020604,"submittedOn":"2026-03-17","documentName":"SERVATUS CAPITAL FORM ADV PART 2"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T16:47:01.510293+00:00","documents":[{"name":"SERVATUS CAPITAL FORM ADV PART 2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020604","versionId":1020604,"submittedOn":"2026-03-17"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":110135315}],"custodyNote":"Servatus Capital does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Daniel Stephen","title":"Managing Member/Chief Compliance Officer","crd":"3232541"},{"name":"Robert Dunn","title":"Director and Partner","crd":"5367632"},{"name":"Daniel Perry","title":"Member","crd":"4499998"},{"name":"Mitchel Ramos","title":"Member","crd":"7466823"}],"ownership":[{"label":"Daniel Stephen","detail":"Managing member/chief compliance officer in the 50% to 75% ownership band and a control person, since August 2020."},{"label":"Mitchel Ramos","detail":"Member in the 10% to 25% ownership band, since October 2021."},{"label":"Daniel Perry","detail":"Member in the 10% to 25% ownership band, since October 2021."},{"label":"Robert Dunn","detail":"Director and partner in the 5% to 10% ownership band and a control person, since October 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"999 Vanderbilt Beach Road, Suite 707","city":"Naples","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"314-750-1167","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":30},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":54},{"label":"Cash and cash equivalents","percent":14}],"privateFunds":0},"sources":{"adv1FilingDate":"22 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/311428/PDF/311428.pdf","brochureDate":"17 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020604","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 Servatus Capital have?","answer":"Servatus Capital has 32 clients and manages $110 million for them, as of September 2026. They include 17 high-net-worth individuals, 12 individual clients and 1 pension or profit-sharing plan.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 22 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Servatus Capital offer?","answer":"Servatus Capital provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, 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":"Which custodians does Servatus Capital use?","answer":"Servatus Capital’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $110M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 22 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Servatus Capital have?","answer":"Servatus Capital has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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 Servatus Capital invest in?","answer":"At the end of its last fiscal year, Servatus Capital’s separately managed accounts held 54% registered funds (mutual funds, ETFs, BDCs), 30% exchange-traded equities, 14% cash and equivalents, 1% non-exchange-traded equities and 1% 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 Servatus Capital?","answer":"Servatus Capital’s direct owners are Daniel Stephen (50% to 75%), Mitchel Ramos (10% to 25%), Daniel Perry (10% to 25%) and Robert Dunn (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 22 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Servatus Capital get paid?","answer":"Servatus Capital is paid through a percentage of assets under management 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 Servatus Capital?","answer":"Servatus Capital’s main office is at 999 Vanderbilt Beach Road, Suite 707, Naples, FL 34108. Its phone number is 314-750-1167.","source":"Form ADV Part 1A, Item 1.F, filed 22 September 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."}