{"url":"https://nivawealth.com/firms/steven-feldstein-and-associates-109022","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/109022","regulatoryAum":160000000,"crd":"109022","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1402510","suffix":null,"lastName":"FELDSTEIN","firstName":"STEVEN","middleName":null}],"total":1,"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":"2021-03-31","regulatoryAum":104416525,"clients":693,"employees":4,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":121442563,"clients":707,"employees":4,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":103411785,"clients":701,"employees":4,"offices":1},{"filedOn":"2024-06-12","regulatoryAum":119979711,"clients":525,"employees":4,"offices":1},{"filedOn":"2025-02-13","regulatoryAum":138936559,"clients":519,"employees":4,"offices":1},{"filedOn":"2026-02-24","regulatoryAum":160000000,"clients":526,"employees":4,"offices":1}],"secFileNumber":"801-56257","legalName":"Steven Feldstein & Associates","displayName":"Steven Feldstein & Associates","slug":"steven-feldstein-and-associates-109022","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"New Jersey limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"1 February 1999","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":304182.5095057034,"staff":{"employees":4,"advisory":2,"brokerDealerReps":2,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":160000000,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":160000000,"nonDiscretionaryAccounts":740,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":526,"regulatoryAum":160000000}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:02:12.885073+00:00","documents":[{"name":"STEVEN FELDSTEIN & ASSOCIATES BROCHURE DECEMBER 2025","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011491","versionId":1011491,"submittedOn":"2026-02-24"}]},"custodians":[],"custodyNote":"Steven Feldstein & Associates does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Steven Feldstein","title":"Chief Compliance Officer and Managing Member","crd":"1402510"}],"ownership":[{"label":"Steven Feldstein","detail":"Chief compliance officer and managing member in the 75% or more ownership band and a control person, since August 1974."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"908-879-9559","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":83},{"label":"U.S. government/agency bonds","percent":4},{"label":"U.S. state and local bonds","percent":9},{"label":"Derivatives","percent":1},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"24 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/109022/PDF/109022.pdf","brochureDate":"24 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011491","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 Steven Feldstein & Associates have?","answer":"Steven Feldstein & Associates has 526 clients and manages $160 million for them, as of February 2026. They include 526 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Steven Feldstein & Associates offer?","answer":"Steven Feldstein & Associates provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, 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 many financial advisors does Steven Feldstein & Associates have?","answer":"Steven Feldstein & Associates has 1 investment adviser representative registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Steven Feldstein & Associates invest in?","answer":"At the end of its last fiscal year, Steven Feldstein & Associates’ separately managed accounts held 83% exchange-traded equities, 9% state and local bonds, 4% U.S. government and agency bonds, 3% cash and equivalents and 1% derivatives.","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 Steven Feldstein & Associates?","answer":"Steven Feldstein & Associates’ direct owner is Steven Feldstein (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Steven Feldstein & Associates get paid?","answer":"Steven Feldstein & Associates 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 Steven Feldstein & Associates?","answer":"Its phone number is 908-879-9559.","source":"Form ADV Part 1A, Item 1.F, filed 24 February 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."}