{"url":"https://nivawealth.com/firms/taurus-financial-335067","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/335067","regulatoryAum":162463905,"crd":"335067","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7846972","suffix":null,"lastName":"Chen","firstName":"Fuqi","middleName":null},{"crd":"5497831","suffix":null,"lastName":"SUN","firstName":"YAN","middleName":null},{"crd":"6189897","suffix":null,"lastName":"Wang","firstName":"Yisha","middleName":null}],"total":3,"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":"801-135168","legalName":"Taurus Financial LLC","displayName":"Taurus Financial","slug":"taurus-financial-335067","website":"https://taurus-fin.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/taurus-fin","founded":null,"organization":"New Jersey limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1 Evertrust Plaza, Suite 307","city":"Jersey City","state":"NJ","stateName":"New Jersey","country":"United States","postalCode":"07302"},"tradeNames":[],"registration":{"secApproved":"15 January 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":3,"advisory":3,"brokerDealerReps":3,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":162463905,"discretionary":101130376,"discretionaryAccounts":178,"nonDiscretionary":61333529,"nonDiscretionaryAccounts":65,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":30},"clientTypes":[{"label":"Individuals (other than HNW)","clients":3,"fewerThan5":true,"regulatoryAum":140416},{"label":"High-net-worth individuals","clients":87,"regulatoryAum":133843433},{"label":"Pension and profit-sharing plans","clients":33,"regulatoryAum":23932897},{"label":"Corporations and other businesses","clients":4,"fewerThan5":true,"regulatoryAum":4547159}],"feePrograms":[{"role":"main","program":"Portfolio Management Fees","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056848","versionId":1056848,"ratePeriod":"annual","fee_billing":null,"submittedOn":"2026-09-02","documentName":"FORM ADV PART 2A - TAURUS FINANCIAL","fee_rate_low":0.65,"fee_rate_high":1.2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Packages","summary":"One-time fixed fees for financial plan packages range from $1,100 to $2,000; recurring planning is hourly at $500 to $800.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056848","versionId":1056848,"submittedOn":"2026-09-02","documentName":"FORM ADV PART 2A - TAURUS FINANCIAL"},{"role":"other","program":"Pension Consulting Services","summary":"Asset-based pension consulting fees use the same tiers as portfolio management, from 1.20% down to 0.65% of assets.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056848","versionId":1056848,"submittedOn":"2026-09-02","documentName":"FORM ADV PART 2A - TAURUS FINANCIAL"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T17:58:17.648246+00:00","documents":[{"name":"FORM ADV PART 2A - TAURUS FINANCIAL","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056848","versionId":1056848,"submittedOn":"2026-09-02"}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Fort Mill, SC","smaAssets":23997517},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":138466388}],"custodyNote":"Taurus Financial has custody of client assets.","leadership":[{"name":"Yisha Wang","title":"Partner and Chief Compliance Officer","crd":"6189897"},{"name":"Yan Sun","title":"Managing Partner","crd":"5497831"}],"ownership":[{"label":"Yan Sun","detail":"Managing partner in the 75% or more ownership band and a control person, since January 2022."},{"label":"Yisha Wang","detail":"Partner and chief compliance officer in the 25% to 50% ownership band and a control person, since January 2022."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New Jersey","offices":1,"addresses":[{"street":"1 Evertrust Plaza, Suite 307","city":"Jersey City","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"201-500-6322","stateRegisteredReps":3,"otherAdviserReps":2,"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","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":20},{"label":"Non-exchange-traded equity securities","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":25},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":5},{"label":"Other","percent":45,"detail":"Market-Linked Notes (Debt Securities) Issued by Financial Institutions"}],"privateFunds":0},"sources":{"adv1FilingDate":"2 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/335067/PDF/335067.pdf","brochureDate":"2 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056848","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 Taurus Financial have?","answer":"Taurus Financial has 127 clients and manages $162 million for them, as of September 2026. They include 87 high-net-worth individuals, 33 pension and profit-sharing plans, and 4 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Taurus Financial offer?","answer":"Taurus Financial provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","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 Taurus Financial charge?","answer":"Taurus Financial charges 0.65%–1.20% a year for its Portfolio Management Fees. The fee is negotiable.","source":"FORM ADV PART 2A - TAURUS FINANCIAL, filed 2 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Taurus Financial use?","answer":"Taurus Financial’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $138M and LPL Financial LLC (Fort Mill, SC), with $24M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Taurus Financial have?","answer":"Taurus Financial has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 3 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 Taurus Financial invest in?","answer":"At the end of its last fiscal year, Taurus Financial’s separately managed accounts held 45% other, 25% registered funds (mutual funds, ETFs, BDCs), 20% exchange-traded equities, 5% non-exchange-traded equities and 5% pooled vehicles (private funds and similar). The 45% other category is described as: Market-Linked Notes (Debt Securities) Issued by Financial Institutions.","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 Taurus Financial?","answer":"Taurus Financial’s direct owners are Yan Sun (75% or more) and Yisha Wang (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 2 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Taurus Financial get paid?","answer":"Taurus Financial 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":"Is Taurus Financial registered with the SEC?","answer":"Yes, Taurus Financial has been registered with the SEC as an investment adviser since 15 January 2026. Its CRD number is 335067 and its SEC file number is 801-135168.","source":"Form ADV Part 1A, Item 1, filed 2 September 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Taurus Financial?","answer":"Taurus Financial’s main office is at 1 Evertrust Plaza, Suite 307, Jersey City, NJ 07302. Its phone number is 201-500-6322. Its website is taurus-fin.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 September 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."}