{"url":"https://nivawealth.com/firms/stolzer-rothschild-levy-169817","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/169817","regulatoryAum":165969000,"crd":"169817","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6939004","suffix":"Jr.","lastName":"Petronella","firstName":"Alexander","middleName":"Joseph"},{"crd":"1551722","suffix":null,"lastName":"STOLZER","firstName":"HOWARD","middleName":"NEIL"}],"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":"2025-04-08","regulatoryAum":145190000,"clients":99,"employees":2,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":165969000,"clients":98,"employees":2,"offices":1}],"secFileNumber":"801-132576","legalName":"Stolzer Rothschild Levy LLC","displayName":"Stolzer Rothschild Levy","slug":"stolzer-rothschild-levy-169817","website":"https://srlam.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/5311247/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"233 MT. Airy Road, Suite 100","city":"Basking Ridge","state":"NJ","stateName":"New Jersey","country":"United States","postalCode":"07920"},"tradeNames":["SRL Wealth"],"registration":{"secApproved":"28 April 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1471051.282051282,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":165969000,"discretionary":126629651,"discretionaryAccounts":230,"nonDiscretionary":39339349,"nonDiscretionaryAccounts":15,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":45,"regulatoryAum":15847000},{"label":"High-net-worth individuals","clients":33,"regulatoryAum":98895000},{"label":"Pension and profit-sharing plans","clients":5,"regulatoryAum":10666000},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":970000},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":251000},{"label":"Other","clients":15,"regulatoryAum":39340000}],"feePrograms":[{"role":"main","program":"Standard Fee Structure","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031084","versionId":1031084,"ratePeriod":"not_stated","fee_billing":null,"submittedOn":"2026-03-30","documentName":"SRL - PART 2 A DISCLOSURE BROCHURE 2026","fee_rate_low":null,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:51:11.304736+00:00","documents":[{"name":"SRL - PART 2 A DISCLOSURE BROCHURE 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031084","versionId":1031084,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":128662000}],"custodyNote":"Stolzer Rothschild Levy does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Howard Stolzer","title":"President, Chief Investment Officer, CCO","crd":"1551722"}],"ownership":[{"label":"Howard Stolzer","detail":"President, chief investment officer, cco in the 75% or more ownership band and a control person, since January 2014."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New Jersey","offices":1,"addresses":[{"street":"233 MT. Airy Road, Suite 100","city":"Basking Ridge","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"732-481-2200","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"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":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":15},{"label":"U.S. government/agency bonds","percent":4},{"label":"U.S. state and local bonds","percent":2},{"label":"Investment grade corporate bonds","percent":2},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":68},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":2},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/169817/PDF/169817.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031084","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 Stolzer Rothschild Levy have?","answer":"Stolzer Rothschild Levy has 98 clients and manages $166 million for them, as of March 2026. They include 45 individual clients, 33 high-net-worth individuals and 15 other clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Stolzer Rothschild Levy offer?","answer":"Stolzer Rothschild Levy 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 much does Stolzer Rothschild Levy charge?","answer":"Stolzer Rothschild Levy charges up to 1.25% for its Standard Fee Structure. The brochure does not state whether the rate is annual. The fee is negotiable.","source":"SRL - PART 2 A DISCLOSURE BROCHURE 2026, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Stolzer Rothschild Levy use?","answer":"Stolzer Rothschild Levy’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $129M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Stolzer Rothschild Levy have?","answer":"Stolzer Rothschild Levy has 2 investment adviser representatives registered with state securities authorities, out of 2 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 Stolzer Rothschild Levy invest in?","answer":"At the end of its last fiscal year, Stolzer Rothschild Levy’s separately managed accounts held 68% registered funds (mutual funds, ETFs, BDCs), 15% exchange-traded equities, 6% cash and equivalents, 4% U.S. government and agency bonds, 2% state and local bonds, 2% investment grade corporate bonds, 2% pooled vehicles (private funds and similar) and 1% high-yield corporate 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 Stolzer Rothschild Levy?","answer":"Stolzer Rothschild Levy’s direct owner is Howard Stolzer (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Stolzer Rothschild Levy get paid?","answer":"Stolzer Rothschild Levy is paid through a percentage of assets under management and hourly charges. 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 Stolzer Rothschild Levy?","answer":"Stolzer Rothschild Levy’s main office is at 233 MT. Airy Road, Suite 100, Basking Ridge, NJ 07920. Its phone number is 732-481-2200. Its website is srlam.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 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."}