{"url":"https://nivawealth.com/firms/statheros-financial-solutions-306217","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/306217","regulatoryAum":926170171,"crd":"306217","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6675792","suffix":null,"lastName":"ANDRES","firstName":"EMILIE","middleName":"Christine"},{"crd":"5628072","suffix":null,"lastName":"DAVEY","firstName":"DOUGLAS","middleName":"HARRY"},{"crd":"5951048","suffix":null,"lastName":"GUTIERREZ","firstName":"BRYAN","middleName":"DANIEL"},{"crd":"2411599","suffix":null,"lastName":"GUTIERREZ","firstName":"DANIEL","middleName":"CHARLES"},{"crd":"7698590","suffix":null,"lastName":"Hilliker","firstName":"Caleb","middleName":null},{"crd":"5086534","suffix":null,"lastName":"PARSONS","firstName":"JACOB","middleName":"RICHARD"},{"crd":"8121618","suffix":null,"lastName":"Parsons","firstName":"Trevor","middleName":"S"},{"crd":"5305117","suffix":null,"lastName":"PETERSON","firstName":"GREGORY","middleName":"ALLEN"},{"crd":"5410651","suffix":null,"lastName":"ROBERTS","firstName":"MICHAEL","middleName":"LYLE"},{"crd":"4387930","suffix":null,"lastName":"ROEMERS","firstName":"KELLY","middleName":"L"},{"crd":"7527067","suffix":null,"lastName":"Waisner","firstName":"Justin","middleName":"S"}],"total":11,"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":"2021-03-25","regulatoryAum":587045099,"clients":610,"employees":14,"offices":2},{"filedOn":"2022-03-28","regulatoryAum":709406951,"clients":659,"employees":13,"offices":2},{"filedOn":"2023-03-21","regulatoryAum":578058999,"clients":615,"employees":15,"offices":2},{"filedOn":"2024-03-27","regulatoryAum":705224308,"clients":624,"employees":15,"offices":2},{"filedOn":"2025-03-11","regulatoryAum":810053837,"clients":617,"employees":16,"offices":2},{"filedOn":"2026-06-02","regulatoryAum":926170171,"clients":625,"employees":15,"offices":2}],"secFileNumber":"801-117649","legalName":"Statheros Financial Solutions, Inc.","displayName":"Statheros Financial Solutions","slug":"statheros-financial-solutions-306217","website":"https://statherosfinancial.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/306217/66f29a86a216b527-r1.webp","tone":"light","width":561,"height":200,"sourceUrl":"https://www.statherosfinancial.com/","sourceLabel":"Statheros Financial Solutions, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/statheros-financial-solutions","founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"1107 Investment BLVD., Ste. 135","city":"El Dorado Hills","state":"CA","stateName":"California","country":"United States","postalCode":"95762"},"tradeNames":[],"registration":{"secApproved":"15 October 2019","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":997974.5423423423,"staff":{"employees":15,"advisory":11,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"regulatory":926170171,"discretionary":926170171,"discretionaryAccounts":1430,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":394,"regulatoryAum":114423396},{"label":"High-net-worth individuals","clients":161,"regulatoryAum":439452475},{"label":"Pension and profit-sharing plans","clients":70,"regulatoryAum":369256395},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":3037905}],"feePrograms":[{"role":"main","program":"Investment Advisory Services","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1.2,"from":0},{"to":1000000,"pct":1.1,"from":500000},{"to":2500000,"pct":0.8,"from":1000000},{"to":5000000,"pct":0.65,"from":2500000},{"to":10000000,"pct":0.4,"from":5000000},{"to":15000000,"pct":0.25,"from":10000000},{"to":null,"pct":0.1,"from":15000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045994","versionId":1045994,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-05-22","documentName":"FORM ADV - STATHEROS FINANCIAL SOLUTIONS INC.","fee_rate_low":0.1,"fee_rate_high":1.2,"fee_negotiable":null,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Retirement Plan Advisory Services","summary":"Retirement plan advisory fees are maximum tiered percentages, from 0.80% on the first $1,000,000 to 0.10% above $20,000,000, with a $1,000 minimum annual fee.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045994","versionId":1045994,"submittedOn":"2026-05-22","documentName":"FORM ADV - STATHEROS FINANCIAL SOLUTIONS INC."}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T07:39:02.001384+00:00","documents":[{"name":"FORM ADV - STATHEROS FINANCIAL SOLUTIONS INC.","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045994","versionId":1045994,"submittedOn":"2026-05-22"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045993","versionId":1045993,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"New York, NY","smaAssets":556490580},{"name":"Mid Atlantic Clearing & Settlement Corporation","shortName":"Mid Atlantic Clearing & Settlement","location":"Pittsburgh, PA","smaAssets":349736706}],"custodyNote":"Statheros Financial Solutions does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jacob Parsons","title":"President & CEO","crd":"5086534"},{"name":"Kelly Roemers","title":"CCO/CFO","crd":"4387930"}],"ownership":[{"label":"Kelly Roemers","detail":"Cco/cfo in the 10% to 25% ownership band and a control person, since August 2019."},{"label":"Jacob Parsons","detail":"President & ceo in the 75% or more ownership band and a control person, since August 2019."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"1107 Investment BLVD., Ste. 135","city":"El Dorado Hills","headquarters":true},{"street":"2635 North 1st Street","city":"San Jose"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"916-932-1219","stateRegisteredReps":11,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":80},{"label":"Securities issued by registered investment companies or business development companies","percent":19},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"2 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/306217/PDF/306217.pdf","brochureDate":"22 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045994","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 Statheros Financial Solutions have?","answer":"Statheros Financial Solutions has 625 clients and manages $926 million for them, as of June 2026. They include 394 individual clients, 161 high-net-worth individuals, and 70 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Statheros Financial Solutions offer?","answer":"Statheros Financial Solutions 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 Statheros Financial Solutions charge?","answer":"Statheros Financial Solutions charges 0.10%–1.20% a year for its Investment Advisory Services. Each asset band is charged at its own rate. The fee is billed in arrears.","source":"FORM ADV - STATHEROS FINANCIAL SOLUTIONS INC., filed 22 May 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Statheros Financial Solutions use?","answer":"Statheros Financial Solutions’ separately managed account assets are held at Charles Schwab & Co., Inc. (New York, NY), with $556M and Mid Atlantic Clearing & Settlement Corporation (Pittsburgh, PA), with $350M. 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 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Statheros Financial Solutions have?","answer":"Statheros Financial Solutions has 11 investment adviser representatives registered with state securities authorities, out of 15 employees, and 11 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 Statheros Financial Solutions invest in?","answer":"At the end of its last fiscal year, Statheros Financial Solutions’ separately managed accounts held 80% exchange-traded equities, 19% registered funds (mutual funds, ETFs, BDCs) 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 Statheros Financial Solutions?","answer":"Statheros Financial Solutions’ direct owners are Kelly Roemers (10% to 25%) and Jacob Parsons (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 2 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Statheros Financial Solutions get paid?","answer":"Statheros Financial Solutions 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 Statheros Financial Solutions?","answer":"Statheros Financial Solutions’ main office is at 1107 Investment BLVD., Ste. 135, El Dorado Hills, CA 95762. Its phone number is 916-932-1219. Its website is statherosfinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 June 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."}