{"url":"https://nivawealth.com/firms/steven-g-blum-and-associates-130807","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/130807","regulatoryAum":180237422,"crd":"130807","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4572091","suffix":"MR.","lastName":"BLUM","firstName":"STEVEN","middleName":"G."},{"crd":"4770170","suffix":"MRS.","lastName":"BONFINI","firstName":"MARY","middleName":"QUINN"}],"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":"2022-03-15","regulatoryAum":131291996,"clients":55,"employees":3,"offices":1},{"filedOn":"2023-03-24","regulatoryAum":123150931,"clients":60,"employees":3,"offices":1},{"filedOn":"2024-03-29","regulatoryAum":137400687,"clients":59,"employees":3,"offices":1},{"filedOn":"2025-03-27","regulatoryAum":152495952,"clients":57,"employees":3,"offices":1},{"filedOn":"2026-03-06","regulatoryAum":180237422,"clients":70,"employees":3,"offices":1}],"secFileNumber":"801-122860","legalName":"Steven G. Blum and Associates, LLC","displayName":"Steven G. Blum and Associates","slug":"steven-g-blum-and-associates-130807","website":"https://stevengblum.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Pennsylvania limited liability company","fiscalYearEnd":"December","headquarters":{"street":"801 Yale Avenue","city":"Swarthmore","state":"PA","stateName":"Pennsylvania","country":"United States","postalCode":"19081"},"tradeNames":[],"registration":{"secApproved":"13 December 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2574820.314285714,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":180237422,"discretionary":74257190,"discretionaryAccounts":158,"nonDiscretionary":105980232,"nonDiscretionaryAccounts":243,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":19,"regulatoryAum":7353393},{"label":"High-net-worth individuals","clients":51,"regulatoryAum":172884029}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:05:26.154701+00:00","documents":[{"name":"ADV PART 2A & 2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015339","versionId":1015339,"submittedOn":"2026-03-06"}]},"custodians":[{"name":"Tiaa-Cref Individual & Institutional Services, LLC","shortName":"Tiaa-Cref Individual & Institutional Services","location":"New York, NY","smaAssets":22584212},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":61747275},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":92191022}],"custodyNote":"Steven G. Blum and Associates has custody of $38M for 37 clients.","otherCustodians":[],"leadership":[{"name":"Steven Blum","title":"Member, Chief Compliance Officer","crd":"4572091"},{"name":"Mary Bonfini","title":"Member","crd":"4770170"}],"ownership":[{"label":"Mary Bonfini","detail":"Member in the 5% to 10% ownership band, since January 2004."},{"label":"Steven Blum","detail":"Member, chief compliance officer in the 75% or more ownership band and a control person, since January 2004."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Pennsylvania","offices":1,"addresses":[{"street":"801 Yale Avenue","city":"Swarthmore","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"610-328-7725","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":8},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":88},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"6 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/130807/PDF/130807.pdf","brochureDate":"6 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015339","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 G. Blum and Associates have?","answer":"Steven G. Blum and Associates has 70 clients and manages $180 million for them, as of March 2026. They include 51 high-net-worth individuals and 19 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Steven G. Blum and Associates offer?","answer":"Steven G. Blum and Associates 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":"Which custodians does Steven G. Blum and Associates use?","answer":"Steven G. Blum and Associates’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $92.2M, Fidelity Brokerage Services LLC (Smithfield, RI), with $61.7M and Tiaa-Cref Individual & Institutional Services, LLC (New York, NY), with $22.6M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 6 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Steven G. Blum and Associates have?","answer":"Steven G. Blum and Associates has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 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 Steven G. Blum and Associates invest in?","answer":"At the end of its last fiscal year, Steven G. Blum and Associates’ separately managed accounts held 88% registered funds (mutual funds, ETFs, BDCs), 8% exchange-traded equities, 3% cash and equivalents and 1% state and local bonds.","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 G. Blum and Associates?","answer":"Steven G. Blum and Associates’ direct owners are Mary Bonfini (5% to 10%) and Steven Blum (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 6 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Steven G. Blum and Associates get paid?","answer":"Steven G. Blum and Associates is paid through a percentage of assets under management 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 Steven G. Blum and Associates?","answer":"Steven G. Blum and Associates’ main office is at 801 Yale Avenue, Swarthmore, PA 19081. Its phone number is 610-328-7725. Its website is stevengblum.com.","source":"Form ADV Part 1A, Item 1.F, filed 6 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."}