{"url":"https://nivawealth.com/firms/slavic-mutual-funds-management-113833","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/113833","regulatoryAum":4974523594,"crd":"113833","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2756394","suffix":null,"lastName":"DICKERSON","firstName":"JEFFREY","middleName":"LYNN"},{"crd":"5685452","suffix":null,"lastName":"DJURIN","firstName":"JASNA","middleName":"B"},{"crd":"4119513","suffix":null,"lastName":"GUINN","firstName":"KURT","middleName":"STEPHEN"},{"crd":"2814057","suffix":null,"lastName":"REDSTONE","firstName":"BARBARA","middleName":"VAUGHAN"},{"crd":"2704722","suffix":null,"lastName":"SCHOENMAKER","firstName":"JAMES","middleName":"MARTIN"},{"crd":"1651153","suffix":null,"lastName":"SLAVIC","firstName":"JOHN","middleName":"JULIUS"}],"total":6,"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":"2021-04-29","regulatoryAum":2668472679,"clients":810,"employees":28,"offices":2},{"filedOn":"2022-06-29","regulatoryAum":3929284095,"clients":835,"employees":24,"offices":2},{"filedOn":"2023-03-31","regulatoryAum":4128477749,"clients":879,"employees":17,"offices":3},{"filedOn":"2024-03-29","regulatoryAum":5589521872,"clients":1098,"employees":17,"offices":1},{"filedOn":"2025-05-15","regulatoryAum":4496485013,"clients":737,"employees":18,"offices":1},{"filedOn":"2026-04-27","regulatoryAum":4974523594,"clients":655,"employees":13,"offices":1}],"secFileNumber":"801-29099","legalName":"Slavic Mutual Funds Management Corp.","displayName":"Slavic Mutual Funds Management","slug":"slavic-mutual-funds-management-113833","website":null,"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/slavic401k-retirement-plan-services","xUrl":"https://twitter.com/slavic401K","founded":null,"organization":"Florida corporation","fiscalYearEnd":"December","headquarters":{"street":"1075 Broken Sound Parkway NW, Suite 100","city":"Boca Raton","state":"FL","stateName":"Florida","country":"United States","postalCode":"33487-3540"},"tradeNames":["Slavic401k"],"registration":{"secApproved":"3 April 1987","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":117813.44736842105,"staff":{"employees":13,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":4974523594,"discretionary":4974523594,"discretionaryAccounts":6754,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":35815288,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":304,"regulatoryAum":35815288},{"label":"Pension and profit-sharing plans","clients":351,"regulatoryAum":4938708306}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":3741326454},{"name":"American Trust Custody","shortName":"American Trust Custody","location":"Pittsburgh, PA","smaAssets":1187359281}],"custodyNote":"Slavic Mutual Funds Management has custody of client assets.","otherCustodians":[],"leadership":[{"name":"John Slavic","title":"President/Chief Compliance Officer","crd":"1651153"},{"name":"James Schoenmaker","title":"Chief Strategy Officer","crd":"2704722"}],"ownership":[{"label":"Slavic401k, Inc.","detail":"Holding company in the 75% or more ownership band and a control person, since March 2024."},{"label":"John Slavic","detail":"Indirect owner: a shareholder of Slavic Constellation, LLC in the 75% or more band and a control person, since December 2025.","parent":"Slavic Constellation, LLC"},{"label":"Trispan of 02 LP","detail":"Indirect owner: a shareholder of Slavic401k Parent, LLC in the 50% to 75% band and a control person, since December 2025.","parent":"Slavic401k Parent, LLC"},{"label":"Slavic401k Holdings, LLC","detail":"Indirect owner: a shareholder of Slavic401k Intermediate, Inc. in the 75% or more band and a control person, since March 2024.","parent":"Slavic401k Intermediate, Inc."},{"label":"Slavic401k Intermediate, Inc.","detail":"Indirect owner: a shareholder of Slavic401k, Inc. in the 75% or more band and a control person, since March 2024.","parent":"Slavic401k, Inc."},{"label":"Slavic401k Parent, LLC","detail":"Indirect owner: a shareholder of Slavic401k Holdings, LLC in the 75% or more band and a control person, since December 2025.","parent":"Slavic401k Holdings, LLC"},{"label":"Slavic Constellation, LLC","detail":"Indirect owner: a shareholder of Slavic401k Parent, LLC in the 25% to 50% band and a control person, since May 2025.","parent":"Slavic401k Parent, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"1075 Broken Sound Parkway NW, Suite 100","city":"Boca Raton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"561-241-9244","stateRegisteredReps":10,"otherAdviserReps":1,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":99}],"privateFunds":0},"sources":{"adv1FilingDate":"27 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/113833/PDF/113833.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Slavic Mutual Funds Management have?","answer":"Slavic Mutual Funds Management has 655 clients and manages $4.97 billion for them, as of April 2026. They include 351 pension and profit-sharing plans and 304 individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Slavic Mutual Funds Management offer?","answer":"Slavic Mutual Funds Management provides portfolio management for individuals and small businesses 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 Slavic Mutual Funds Management use?","answer":"Slavic Mutual Funds Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $3.74B and American Trust Custody (Pittsburgh, PA), with $1.19B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Slavic Mutual Funds Management have?","answer":"Slavic Mutual Funds Management has 10 investment adviser representatives registered with state securities authorities, out of 13 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 Slavic Mutual Funds Management invest in?","answer":"At the end of its last fiscal year, Slavic Mutual Funds Management’s separately managed accounts held 99% registered funds (mutual funds, ETFs, BDCs) and 1% exchange-traded equities.","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 Slavic Mutual Funds Management?","answer":"Slavic Mutual Funds Management is owned through a chain of holding companies by John Slavic and Trispan of 02 LP. Its direct owner is Slavic401k, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Slavic Mutual Funds Management get paid?","answer":"Slavic Mutual Funds Management 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 Slavic Mutual Funds Management?","answer":"Slavic Mutual Funds Management’s main office is at 1075 Broken Sound Parkway NW, Suite 100, Boca Raton, FL 33487-3540. Its phone number is 561-241-9244.","source":"Form ADV Part 1A, Item 1.F, filed 27 April 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."}