{"url":"https://nivawealth.com/firms/sincerus-advisory-300559","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/300559","regulatoryAum":221968163,"crd":"300559","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5476606","suffix":null,"lastName":"RYAN","firstName":"DANIEL","middleName":"THOMAS"},{"crd":"3130308","suffix":null,"lastName":"Williams","firstName":"Valerie","middleName":"Gayle"},{"crd":"4253003","suffix":null,"lastName":"WILSON","firstName":"DAVID","middleName":"FLORES"}],"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":"2021-06-08","regulatoryAum":73015000,"clients":129,"employees":3,"offices":1},{"filedOn":"2022-03-08","regulatoryAum":108564000,"clients":149,"employees":4,"offices":1},{"filedOn":"2023-03-16","regulatoryAum":120619325,"clients":184,"employees":4,"offices":1},{"filedOn":"2024-02-29","regulatoryAum":155577159,"clients":174,"employees":3,"offices":5},{"filedOn":"2025-05-29","regulatoryAum":180135846,"clients":165,"employees":3,"offices":5},{"filedOn":"2026-03-09","regulatoryAum":221968163,"clients":169,"employees":4,"offices":5}],"secFileNumber":"801-119083","legalName":"Sincerus Advisory, LLC","displayName":"Sincerus Advisory","slug":"sincerus-advisory-300559","website":"https://sincerusadv.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/300559/55461db5fb424d4e-r1.webp","tone":"light","width":651,"height":200,"sourceUrl":"https://sincerusadv.com/","sourceLabel":"Sincerus Advisory, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/sincerus-advisory","founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"23 July 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1111234.9367088608,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":221968163,"discretionary":203782947,"discretionaryAccounts":581,"nonDiscretionary":18185216,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":113,"regulatoryAum":61207023},{"label":"High-net-worth individuals","clients":45,"regulatoryAum":114368097},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":2078123},{"label":"Charitable organizations","clients":3,"fewerThan5":true,"regulatoryAum":20437499},{"label":"Corporations and other businesses","clients":7,"regulatoryAum":23877421}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015958","versionId":1015958,"ratePeriod":"annual","fee_billing":"both","submittedOn":"2026-03-09","documentName":"ADV PART 2","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":"annual","fee_minimum_annual":7000},{"role":"other","program":"Comprehensive Financial Planning","summary":"Comprehensive financial planning may be a fixed fee: an upfront charge of $5,000 plus an ongoing fee of $5,000 to $20,000 a year, depending on complexity.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015958","versionId":1015958,"submittedOn":"2026-03-09","documentName":"ADV PART 2"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:17:16.498341+00:00","documents":[{"name":"ADV PART 2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015958","versionId":1015958,"submittedOn":"2026-03-09"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":216324047}],"custodyNote":"Sincerus Advisory has custody of $24.2M in client assets for 19 clients.","leadership":[{"name":"Daniel Ryan","title":"Managing Partner, CCO","crd":"5476606"},{"name":"David Wilson","title":"Managing Partner","crd":"4253003"}],"ownership":[{"label":"Daniel Ryan","detail":"Managing partner, cco in the 50% to 75% ownership band and a control person, since January 2019."},{"label":"David Wilson","detail":"Managing partner in the 50% to 75% ownership band and a control person, since May 2020."}],"filedOffices":{"otherThanPrincipal":4,"privateResidences":3},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"6 Saint Johns Lane","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-203-7376","stateRegisteredReps":3,"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","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":59},{"label":"U.S. government/agency bonds","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":27},{"label":"Cash and cash equivalents","percent":7},{"label":"Other","percent":1,"detail":"Inv-Grade Corp Bonds, U.S. State and Local Bonds, Non Exchange-Traded Equities, Piv"}],"privateFunds":0},"sources":{"adv1FilingDate":"9 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/300559/PDF/300559.pdf","brochureDate":"9 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015958","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 Sincerus Advisory have?","answer":"Sincerus Advisory has 169 clients and manages $222 million for them, as of March 2026. They include 113 individual clients, 45 high-net-worth individuals, and 7 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 9 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sincerus Advisory offer?","answer":"Sincerus Advisory provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.","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 Sincerus Advisory charge?","answer":"Sincerus Advisory charges 0.50%–1.00% a year for its Investment Management Services. The fee is billed in advance or in arrears, is negotiable and has a $7,000 annual minimum.","source":"ADV PART 2, filed 9 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Sincerus Advisory use?","answer":"Sincerus Advisory’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $216M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sincerus Advisory have?","answer":"Sincerus Advisory has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 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 Sincerus Advisory invest in?","answer":"At the end of its last fiscal year, Sincerus Advisory’s separately managed accounts held 59% exchange-traded equities, 27% registered funds (mutual funds, ETFs, BDCs), 7% cash and equivalents, 6% U.S. government and agency bonds and 1% other. The 1% other category is described as: Inv-Grade Corp Bonds, U.S. State and Local Bonds, Non Exchange-Traded Equities, Piv.","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 Sincerus Advisory?","answer":"Sincerus Advisory’s direct owners are Daniel Ryan (50% to 75%) and David Wilson (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 9 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sincerus Advisory get paid?","answer":"Sincerus Advisory 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":"Is Sincerus Advisory registered with the SEC?","answer":"Yes, Sincerus Advisory has been registered with the SEC as an investment adviser since 23 July 2020. Its CRD number is 300559 and its SEC file number is 801-119083.","source":"Form ADV Part 1A, Item 1, filed 9 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Sincerus Advisory?","answer":"Its phone number is 212-203-7376. Its website is sincerusadv.com.","source":"Form ADV Part 1A, Item 1.F, filed 9 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."}