{"url":"https://nivawealth.com/firms/soaring-investment-management-305273","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/305273","regulatoryAum":112516204,"crd":"305273","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6482154","suffix":null,"lastName":"Imley","firstName":"Eric","middleName":"Glenn"},{"crd":"2258483","suffix":null,"lastName":"Mesquit","firstName":"Elisabeth","middleName":"Marie"},{"crd":"6646857","suffix":null,"lastName":"Mustian","firstName":"Michael","middleName":"James"},{"crd":"7712907","suffix":null,"lastName":"Porter","firstName":"Garrett","middleName":"Scott"}],"total":4,"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"},"secFileNumber":"801-135170","legalName":"Soaring Investment Management, LLC","displayName":"Soaring Investment Management","slug":"soaring-investment-management-305273","website":"https://soaringinvestmentmanagement.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/305273/f793c9faa4556e92-r1.webp","tone":"light","width":548,"height":200,"sourceUrl":"https://www.soaringinvestmentmanagement.com/","sourceLabel":"Soaring Investment Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Oregon limited liability company","fiscalYearEnd":"December","headquarters":{"street":"9600 SW Barnes RD, Ste 190","city":"Portland","state":"OR","stateName":"Oregon","country":"United States","postalCode":"97225"},"tradeNames":[],"registration":{"secApproved":"15 January 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":657836.8654970761,"staff":{"employees":5,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":112516204,"discretionary":112516204,"discretionaryAccounts":464,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":12},"clientTypes":[{"label":"Individuals (other than HNW)","clients":111,"regulatoryAum":27172903},{"label":"High-net-worth individuals","clients":60,"regulatoryAum":85317201},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":26100}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":3000000,"pct":0.75,"from":1000000},{"to":5000000,"pct":0.5,"from":3000000},{"to":null,"pct":0.35,"from":5000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037859","versionId":1037859,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-31","documentName":"SOARING INVESTMENT MANAGEMENT FORM ADV PART 2A","fee_rate_low":0.35,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning","summary":"Financial planning is billed hourly at $280 per hour, capped at the initial estimate; ongoing planning is a flat annual fee of $1,200 to $1,800.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037859","versionId":1037859,"submittedOn":"2026-03-31","documentName":"SOARING INVESTMENT MANAGEMENT FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:26:24.721275+00:00","documents":[{"name":"SOARING INVESTMENT MANAGEMENT FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037859","versionId":1037859,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":111117921}],"custodyNote":"Soaring Investment Management has custody of $14.2M in client assets for 38 clients.","otherCustodians":[],"leadership":[{"name":"Eric Imley","title":"Member","crd":"6482154"},{"name":"Elisabeth Mesquit","title":"Member, CCO","crd":"2258483"}],"ownership":[{"label":"Elisabeth Mesquit","detail":"Member, cco in the 50% to 75% ownership band and a control person, since August 2019."},{"label":"Eric Imley","detail":"Member in the 25% to 50% ownership band and a control person, since August 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":1},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":1,"addresses":[{"street":"(Mustian, Michael) 11330 Vanstory DR","city":"Huntersville"}]},{"state":"Oregon","offices":1,"addresses":[{"street":"9600 SW Barnes RD, Ste 190","city":"Portland","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"503-433-7946","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":11},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":86},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/305273/PDF/305273.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037859","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 Soaring Investment Management have?","answer":"Soaring Investment Management has 172 clients and manages $113 million for them, as of March 2026. They include 111 individual clients, 60 high-net-worth individuals and 1 corporate or other business client.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Soaring Investment Management offer?","answer":"Soaring Investment Management provides financial planning and 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 Soaring Investment Management charge?","answer":"Soaring Investment Management charges 0.35%–1.00% a year for its Portfolio Management Services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"SOARING INVESTMENT MANAGEMENT FORM ADV PART 2A, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Soaring Investment Management use?","answer":"Soaring Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $111M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Soaring Investment Management have?","answer":"Soaring Investment Management has 3 investment adviser representatives registered with state securities authorities, out of 5 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 Soaring Investment Management invest in?","answer":"At the end of its last fiscal year, Soaring Investment Management’s separately managed accounts held 86% registered funds (mutual funds, ETFs, BDCs), 11% exchange-traded equities, 1% investment grade corporate bonds and 1% 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 Soaring Investment Management?","answer":"Soaring Investment Management’s direct owners are Elisabeth Mesquit (50% to 75%) and Eric Imley (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Soaring Investment Management get paid?","answer":"Soaring Investment Management is paid through a percentage of assets under management and hourly charges. 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 Soaring Investment Management?","answer":"Soaring Investment Management’s main office is at 9600 SW Barnes RD, Ste 190, Portland, OR 97225. Its phone number is 503-433-7946. Its website is soaringinvestmentmanagement.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 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."}