{"url":"https://nivawealth.com/firms/spinosa-wealth-management-group-170903","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/170903","regulatoryAum":191417058,"crd":"170903","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6065597","suffix":null,"lastName":"SPINOSA","firstName":"JORDAN","middleName":"RANDALL"},{"crd":"1453282","suffix":null,"lastName":"SPINOSA","firstName":"LAWRENCE","middleName":"RANDALL"}],"total":2,"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":"2021-03-23","regulatoryAum":129664894,"clients":131,"employees":3,"offices":1},{"filedOn":"2022-03-23","regulatoryAum":146843889,"clients":141,"employees":1,"offices":1},{"filedOn":"2023-03-27","regulatoryAum":113203934,"clients":149,"employees":3,"offices":1},{"filedOn":"2024-03-21","regulatoryAum":127688386,"clients":135,"employees":3,"offices":1},{"filedOn":"2025-03-20","regulatoryAum":155061629,"clients":139,"employees":3,"offices":1},{"filedOn":"2026-03-05","regulatoryAum":191417058,"clients":152,"employees":3,"offices":1}],"secFileNumber":"801-120889","legalName":"Spinosa Wealth Management Group, LLC","displayName":"Spinosa Wealth Management Group","slug":"spinosa-wealth-management-group-170903","website":"https://spinosawmg.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Louisiana limited liability company","fiscalYearEnd":"December","headquarters":{"street":"4565 Lasalle Street, Suite 201","city":"Mandeville","state":"LA","stateName":"Louisiana","country":"United States","postalCode":"70471"},"tradeNames":[],"registration":{"secApproved":"23 April 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1259322.75,"staff":{"employees":3,"advisory":2,"brokerDealerReps":2,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":191417058,"discretionary":191417058,"discretionaryAccounts":334,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":191417058,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":94,"regulatoryAum":32069605},{"label":"High-net-worth individuals","clients":58,"regulatoryAum":159347453}],"feePrograms":[{"role":"main","program":"Wrap Portfolio Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015121","versionId":1015121,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-05","documentName":"FORM ADV PART 2A, APPENDIX 1 - WRAP FEE PROGRAM BROCHURE - SPINOSA WMG","fee_rate_low":0.75,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":500000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:56:50.367118+00:00","documents":[{"name":"FORM ADV PART 2A, APPENDIX 1 - WRAP FEE PROGRAM BROCHURE - SPINOSA WMG","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015121","versionId":1015121,"submittedOn":"2026-03-05"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015120","versionId":1015120,"submittedOn":null}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Boston, MA","smaAssets":191417058}],"custodyNote":"Spinosa Wealth Management Group has custody of $191M for 151 clients.","otherCustodians":[],"leadership":[{"name":"Lawrence Spinosa","title":"President","crd":"1453282"},{"name":"Brittany Roaden","title":"Chief Compliance Officer","crd":"5686603"}],"ownership":[{"label":"Lawrence Spinosa","detail":"President in the 75% or more ownership band and a control person, since December 1982."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Louisiana","offices":1,"addresses":[{"street":"4565 Lasalle Street, Suite 201","city":"Mandeville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"985-674-6722","stateRegisteredReps":2,"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","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":16},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":73},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":9,"detail":"Structured Notes"}],"privateFunds":0},"sources":{"adv1FilingDate":"5 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/170903/PDF/170903.pdf","brochureDate":"5 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015121","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 Spinosa Wealth Management Group have?","answer":"Spinosa Wealth Management Group has 152 clients and manages $191 million for them, as of March 2026. They include 94 individual clients and 58 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Spinosa Wealth Management Group offer?","answer":"Spinosa Wealth Management Group provides financial planning, 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":"How much does Spinosa Wealth Management Group charge?","answer":"Spinosa Wealth Management Group charges 0.75%–1.25% a year for its Wrap Portfolio Management. The fee is billed in advance, is negotiable and requires an account of at least $500,000.","source":"FORM ADV PART 2A, APPENDIX 1 - WRAP FEE PROGRAM BROCHURE - SPINOSA WMG, filed 5 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Spinosa Wealth Management Group use?","answer":"Spinosa Wealth Management Group’s separately managed account assets are held at LPL Financial LLC (Boston, MA), with $191M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Spinosa Wealth Management Group have?","answer":"Spinosa Wealth Management Group has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 3 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 Spinosa Wealth Management Group invest in?","answer":"At the end of its last fiscal year, Spinosa Wealth Management Group’s separately managed accounts held 73% registered funds (mutual funds, ETFs, BDCs), 16% exchange-traded equities, 9% other, 1% state and local bonds and 1% cash and equivalents. The 9% other category is described as: Structured Notes.","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":"Does Spinosa Wealth Management Group have a minimum investment?","answer":"Yes, Spinosa Wealth Management Group’s minimum account size for its Wrap Portfolio Management is $500K.","source":"FORM ADV PART 2A, APPENDIX 1 - WRAP FEE PROGRAM BROCHURE - SPINOSA WMG, filed 5 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Spinosa Wealth Management Group?","answer":"Spinosa Wealth Management Group’s direct owner is Lawrence Spinosa (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Spinosa Wealth Management Group get paid?","answer":"Spinosa Wealth Management Group 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 Spinosa Wealth Management Group?","answer":"Spinosa Wealth Management Group’s main office is at 4565 Lasalle Street, Suite 201, Mandeville, LA 70471. Its phone number is 985-674-6722. Its website is spinosawmg.com.","source":"Form ADV Part 1A, Item 1.F, filed 5 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."}