{"url":"https://nivawealth.com/firms/setchfield-associates-113289","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/113289","regulatoryAum":192800000,"crd":"113289","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2270971","suffix":null,"lastName":"SETCHFIELD","firstName":"STEVEN","middleName":"TERRY"}],"total":1,"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":"2021-02-17","regulatoryAum":123000000,"clients":250,"employees":2,"offices":1},{"filedOn":"2022-02-03","regulatoryAum":157000000,"clients":250,"employees":2,"offices":1},{"filedOn":"2023-03-15","regulatoryAum":126500000,"clients":250,"employees":2,"offices":1},{"filedOn":"2024-03-10","regulatoryAum":140000000,"clients":250,"employees":2,"offices":1},{"filedOn":"2025-02-24","regulatoryAum":171000000,"clients":225,"employees":2,"offices":2},{"filedOn":"2026-02-16","regulatoryAum":192800000,"clients":250,"employees":2,"offices":2}],"secFileNumber":"801-116770","legalName":"Setchfield 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control person, since January 1998."},{"label":"Cindi Jacobs","detail":"Member in the 50% to 75% ownership band, since August 2006."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"392 Aruba Circle, Unit 101","city":"Bradenton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"303-627-1099","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":30},{"label":"U.S. state and local bonds","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":60},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"16 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/113289/PDF/113289.pdf","brochureDate":"16 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009190","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 Setchfield Associates have?","answer":"Setchfield Associates has 250 clients and manages $193 million for them, as of February 2026. They include 200 individual clients and 50 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Setchfield Associates offer?","answer":"Setchfield Associates provides portfolio management for individuals and small businesses.","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 Setchfield Associates charge?","answer":"Setchfield Associates charges 0.50%–2.00% a year for its Fee accounts. The fee is billed in arrears and is negotiable.","source":"SETCHFIELD ADV 2A STEVEN SETCHFIELD 2B, filed 16 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Setchfield Associates use?","answer":"Setchfield Associates’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $165M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Setchfield Associates have?","answer":"Setchfield Associates has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Setchfield Associates invest in?","answer":"At the end of its last fiscal year, Setchfield Associates’ separately managed accounts held 60% registered funds (mutual funds, ETFs, BDCs), 30% exchange-traded equities, 5% state and local bonds and 5% cash and equivalents.","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 Setchfield Associates?","answer":"Setchfield Associates’ direct owners are Steven Setchfield (50% to 75%) and Cindi Jacobs (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 16 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Setchfield Associates get paid?","answer":"Setchfield Associates 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 Setchfield Associates?","answer":"Setchfield Associates’ main office is at 392 Aruba Circle, Unit 101, Bradenton, FL 34209. Its phone number is 303-627-1099.","source":"Form ADV Part 1A, Item 1.F, filed 16 February 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."}