{"url":"https://nivawealth.com/firms/taber-asset-management-115849","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/115849","regulatoryAum":110023313,"crd":"115849","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1390253","suffix":null,"lastName":"ALBERS","firstName":"CARLA","middleName":"SUE"},{"crd":"7369690","suffix":null,"lastName":"Taber","firstName":"Anastasia","middleName":"Susan"},{"crd":"873507","suffix":null,"lastName":"TABER","firstName":"WILLIAM","middleName":"EMMETT"},{"crd":"6600390","suffix":null,"lastName":"Taber","firstName":"William","middleName":"Alexander"}],"total":4,"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"},"secFileNumber":"801-136221","legalName":"Taber Asset Management L.L.C.","displayName":"Taber Asset Management","slug":"taber-asset-management-115849","website":"https://taberasset.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/taber-asset-management","xUrl":"https://twitter.com/wetaber","founded":null,"organization":"Iowa limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"8 May 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1020129.3564356435,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"regulatory":110023313,"discretionary":90317438,"discretionaryAccounts":91,"nonDiscretionary":19705875,"nonDiscretionaryAccounts":10,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":101,"regulatoryAum":103033065},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":6990248}],"feePrograms":[{"role":"main","program":"Advisory Services","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1.25,"from":100000},{"to":1000000,"pct":1.1,"from":500000},{"to":2000000,"pct":1,"from":1000000},{"to":3500000,"pct":0.8,"from":2000000},{"to":5000000,"pct":0.65,"from":3500000},{"to":10000000,"pct":0.5,"from":5000000},{"to":25000000,"pct":0.48,"from":10000000},{"to":50000000,"pct":0.46,"from":25000000},{"to":75000000,"pct":0.44,"from":50000000},{"to":100000000,"pct":0.42,"from":75000000},{"to":null,"pct":0.4,"from":100000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046513","versionId":1046513,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-05-28","documentName":"FORM ADV PART 2A AND 2B","fee_rate_low":0.4,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning","summary":"Comprehensive financial plans have a $3,500 minimum fee, half payable on signing. General financial planning is billed at $300 an hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046513","versionId":1046513,"submittedOn":"2026-05-28","documentName":"FORM ADV PART 2A AND 2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:21:27.554532+00:00","documents":[{"name":"FORM ADV PART 2A AND 2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046513","versionId":1046513,"submittedOn":"2026-05-28"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":101263180}],"custodyNote":"Taber Asset Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"William Taber","title":"President/Chief Compliance Officer","crd":"873507"}],"ownership":[{"label":"William Taber","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since June 1998."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Virginia","offices":1,"addresses":[{"street":"2000 Duke Street","city":"Alexandria"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"515-557-1860","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Educational seminars/workshops"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":67},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":3},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":24},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"28 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/115849/PDF/115849.pdf","brochureDate":"28 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046513","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 Taber Asset Management have?","answer":"Taber Asset Management has 102 clients and manages $110 million for them, as of May 2026. They include 101 high-net-worth individuals and 1 corporate or other business client.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Taber Asset Management offer?","answer":"Taber Asset Management provides financial planning, portfolio management for individuals and small businesses, and educational seminars.","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 Taber Asset Management charge?","answer":"Taber Asset Management charges 0.40%–1.25% a year for its Advisory Services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"FORM ADV PART 2A AND 2B, filed 28 May 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Taber Asset Management use?","answer":"Taber Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $101M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Taber Asset Management have?","answer":"Taber Asset Management has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 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 Taber Asset Management invest in?","answer":"At the end of its last fiscal year, Taber Asset Management’s separately managed accounts held 67% exchange-traded equities, 24% registered funds (mutual funds, ETFs, BDCs), 3% state and local bonds, 3% cash and equivalents, 1% U.S. government and agency bonds, 1% investment grade corporate bonds and 1% pooled vehicles (private funds and similar).","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 Taber Asset Management?","answer":"Taber Asset Management’s direct owner is William Taber (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 28 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Taber Asset Management get paid?","answer":"Taber Asset Management is paid through a percentage of assets under management, hourly charges 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 Taber Asset Management?","answer":"Its phone number is 515-557-1860. Its website is taberasset.com.","source":"Form ADV Part 1A, Item 1.F, filed 28 May 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."}