{"url":"https://nivawealth.com/firms/signature-financial-services-123729","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/123729","regulatoryAum":274033000,"crd":"123729","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3240028","suffix":null,"lastName":"APPLEBAUM","firstName":"MICHAEL","middleName":"MURRAY"},{"crd":"4229933","suffix":null,"lastName":"BRODERICK","firstName":"THOMAS","middleName":"LAMBERT"},{"crd":"4080324","suffix":null,"lastName":"FOLTOS-MAHLER","firstName":"LINDA","middleName":"SUE"},{"crd":"4622077","suffix":null,"lastName":"MARLETT","firstName":"DAVID","middleName":"MITCHELL"},{"crd":"4321331","suffix":null,"lastName":"MITCHELL","firstName":"TERESA","middleName":"LYNN"},{"crd":"7052956","suffix":null,"lastName":"MOULTON","firstName":"MATTHEW","middleName":"A"},{"crd":"1847213","suffix":null,"lastName":"OLMSTEAD","firstName":"TIMOTHY","middleName":"MELVIN"},{"crd":"4085785","suffix":null,"lastName":"REINGLASS","firstName":"MARVIN","middleName":null},{"crd":"4019996","suffix":null,"lastName":"SZALCZYNSKI","firstName":"SUSAN","middleName":"LYNN"},{"crd":"1909414","suffix":null,"lastName":"THOMAS","firstName":"RICHARD","middleName":"CLARK"},{"crd":"7681055","suffix":null,"lastName":"TUCKER","firstName":"KYLE","middleName":"B"},{"crd":"1904117","suffix":null,"lastName":"WALTON","firstName":"BRADLEY","middleName":"KENT"}],"total":12,"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":"2021-03-30","regulatoryAum":171485610,"clients":353,"employees":21,"offices":17},{"filedOn":"2022-03-29","regulatoryAum":215664332,"clients":474,"employees":19,"offices":16},{"filedOn":"2023-03-30","regulatoryAum":178330000,"clients":467,"employees":19,"offices":16},{"filedOn":"2024-03-18","regulatoryAum":202015000,"clients":346,"employees":14,"offices":10},{"filedOn":"2025-03-05","regulatoryAum":227070000,"clients":343,"employees":12,"offices":8},{"filedOn":"2026-07-02","regulatoryAum":274033000,"clients":353,"employees":12,"offices":8}],"secFileNumber":"801-64258","legalName":"Signature Financial Services, LTD","displayName":"Signature Financial Services","slug":"signature-financial-services-123729","website":"https://signatureadvisors.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/signature-advisors-group/","founded":null,"organization":"Illinois corporation","fiscalYearEnd":"December","headquarters":{"street":"855 East Golf Road, Suite 2128","city":"Arlington Heights","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60005"},"tradeNames":[],"registration":{"secApproved":"27 May 2005","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":708895.8333333334,"staff":{"employees":12,"advisory":12,"brokerDealerReps":12,"insuranceAgents":11,"promoters":0},"aum":{"regulatory":274033000,"discretionary":240853000,"discretionaryAccounts":490,"nonDiscretionary":33180000,"nonDiscretionaryAccounts":16,"wrapProgram":33112487,"nonUsClientsPct":0,"nonAumClients":2},"clientTypes":[{"label":"Individuals (other than HNW)","clients":260,"regulatoryAum":72020000},{"label":"High-net-worth individuals","clients":76,"regulatoryAum":166169000},{"label":"Pension and profit-sharing plans","clients":15,"regulatoryAum":33180000},{"label":"Corporations and other businesses","clients":2,"fewerThan5":true,"regulatoryAum":2664000}],"feePrograms":[{"role":"other","program":"Financial Planning and Consulting","summary":"For non-advisory clients, financial planning and focused consultations are charged hourly at $100 to $400 depending on complexity; advisory clients pay no planning fee.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018664","versionId":1018664,"submittedOn":"2026-03-13","documentName":"BROCHURE FOR ALL CLIENTS"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:41:57.683507+00:00","documents":[{"name":"BROCHURE FOR ALL CLIENTS","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018664","versionId":1018664,"submittedOn":"2026-03-13"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050586","versionId":1050586,"submittedOn":null}]},"custodians":[{"name":"SEI Private Trust Co.","shortName":"SEI Private Trust","location":"Oaks, PA","smaAssets":110683000},{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":125955000},{"name":"American Funds","shortName":"American Funds","location":"Indianapolis, IN","smaAssets":31395000}],"custodyNote":"Signature Financial Services does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Bradley Walton","title":"President","crd":"1904117"},{"name":"Timothy Olmstead","title":"Secretary Treasurer/ Chief Compliance Officer","crd":"1847213"}],"ownership":[{"label":"Signature Advisor Group","detail":"Shareholder in the 75% or more ownership band, since January 2003."},{"label":"Bradley Walton","detail":"Indirect owner: a president of Signature Advisor Group in the 75% or more band and a control person, since January 2003.","parent":"Signature Advisor Group"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":7,"privateResidences":3},"listedOfficeAddresses":5,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":5,"addresses":[{"street":"855 East Golf Road, Suite 2128","city":"Arlington Heights","headquarters":true},{"street":"703 South Main Street","city":"Altamont"},{"street":"606 Academy Drive","city":"Northbrook"},{"street":"6357 W Peterson Avenue","city":"Chicago"},{"street":"7000 Piper Glen Drive","city":"Springfield"}]}],"brochureServices":["education planning","estate planning","insurance","retirement plan services","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"847-545-8070","stateRegisteredReps":12,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","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"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":6},{"label":"U.S. government/agency bonds","percent":3},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":83},{"label":"Cash and cash equivalents","percent":6},{"label":"Other","percent":1,"detail":"Unit Investment Trusts"}],"privateFunds":0},"sources":{"adv1FilingDate":"2 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/123729/PDF/123729.pdf","brochureDate":"13 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018664","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 Signature Financial Services have?","answer":"Signature Financial Services has 353 clients and manages $274 million for them, as of July 2026. They include 260 individual clients, 76 high-net-worth individuals, and 15 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Signature Financial Services offer?","answer":"Signature Financial Services provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, education planning, estate planning, insurance, retirement plan services, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Signature Financial Services use?","answer":"Signature Financial Services’ separately managed account assets are held at Pershing LLC (Jersey City, NJ), with $126M, SEI Private Trust Co. (Oaks, PA), with $111M and American Funds (Indianapolis, IN), with $31.4M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Signature Financial Services have?","answer":"Signature Financial Services has 12 investment adviser representatives registered with state securities authorities, out of 12 employees, and 12 perform investment advisory functions. 12 employees are registered representatives of a broker-dealer and 11 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 Signature Financial Services invest in?","answer":"At the end of its last fiscal year, Signature Financial Services’ separately managed accounts held 83% registered funds (mutual funds, ETFs, BDCs), 6% exchange-traded equities, 6% cash and equivalents, 3% U.S. government and agency bonds, 1% investment grade corporate bonds and 1% other. The 1% other category is described as: Unit Investment Trusts.","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 Signature Financial Services?","answer":"Signature Financial Services is owned through a holding company by Bradley Walton. Its direct owner is Signature Advisor Group (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 2 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Signature Financial Services get paid?","answer":"Signature Financial Services 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 Signature Financial Services?","answer":"Signature Financial Services’ main office is at 855 East Golf Road, Suite 2128, Arlington Heights, IL 60005. Its phone number is 847-545-8070. Its website is signatureadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 July 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."}