{"url":"https://nivawealth.com/firms/stites-financial-consulting-293058","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/293058","regulatoryAum":132300000,"crd":"293058","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6718670","suffix":null,"lastName":"Stites","firstName":"Kevin","middleName":"Andrew"},{"crd":"4316676","suffix":null,"lastName":"STITES","firstName":"SHAWN","middleName":"DAVID"}],"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":"2025-04-01","regulatoryAum":105200000,"clients":215,"employees":2,"offices":1},{"filedOn":"2026-03-20","regulatoryAum":132300000,"clients":265,"employees":2,"offices":1}],"secFileNumber":"801-132438","legalName":"Stites Financial Consulting","displayName":"Stites Financial Consulting","slug":"stites-financial-consulting-293058","website":"https://stitesfc.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California partnership","fiscalYearEnd":"December","headquarters":{"street":"9516 Clay Station Road","city":"Wilton","state":"CA","stateName":"California","country":"United States","postalCode":"95693"},"tradeNames":[],"registration":{"secApproved":"17 April 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":491287.8787878788,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":132300000,"discretionary":132300000,"discretionaryAccounts":563,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":191,"regulatoryAum":43000000},{"label":"High-net-worth individuals","clients":73,"regulatoryAum":86700000},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":2600000}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T16:00:04.099984+00:00","documents":[{"name":"ADV PART 2A & 2B- STITES FINANCIAL CONSULTING","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022913","versionId":1022913,"submittedOn":"2026-03-20"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":123700000}],"custodyNote":"Stites Financial Consulting does not have custody of client assets.","leadership":[{"name":"Shawn Stites","title":"Chief Compliance Officer, General Partner","crd":"4316676"},{"name":"Kevin Stites","title":"Minority Owner, General Partner","crd":"6718670"}],"ownership":[{"label":"Shawn Stites","detail":"Chief compliance officer, general partner in the 75% or more ownership band and a control person, since May 2018."},{"label":"Kevin Stites","detail":"Minority owner, general partner in the 10% to 25% ownership band, since January 2025."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"9516 Clay Station Road","city":"Wilton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"916-601-1992","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":89},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":4},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":5,"detail":"Fee Based Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"20 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/293058/PDF/293058.pdf","brochureDate":"20 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022913","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 Stites Financial Consulting have?","answer":"Stites Financial Consulting has 265 clients and manages $132 million for them, as of March 2026. They include 191 individual clients, 73 high-net-worth individuals and 1 corporate or other business client.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Stites Financial Consulting offer?","answer":"Stites Financial Consulting provides portfolio management for individuals and small businesses and portfolio management for institutions.","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 Stites Financial Consulting use?","answer":"Stites Financial Consulting’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $124M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Stites Financial Consulting have?","answer":"Stites Financial Consulting has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 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 Stites Financial Consulting invest in?","answer":"At the end of its last fiscal year, Stites Financial Consulting’s separately managed accounts held 89% exchange-traded equities, 5% other, 4% registered funds (mutual funds, ETFs, BDCs), 1% U.S. government and agency bonds and 1% cash and equivalents. The 5% other category is described as: Fee Based Annuities.","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 Stites Financial Consulting?","answer":"Stites Financial Consulting’s direct owners are Shawn Stites (75% or more) and Kevin Stites (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 20 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Stites Financial Consulting get paid?","answer":"Stites Financial Consulting 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":"Is Stites Financial Consulting registered with the SEC?","answer":"Yes, Stites Financial Consulting has been registered with the SEC as an investment adviser since 17 April 2025. Its CRD number is 293058 and its SEC file number is 801-132438.","source":"Form ADV Part 1A, Item 1, filed 20 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Stites Financial Consulting?","answer":"Stites Financial Consulting’s main office is at 9516 Clay Station Road, Wilton, CA 95693. Its phone number is 916-601-1992. Its website is stitesfc.com.","source":"Form ADV Part 1A, Item 1.F, filed 20 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."}