{"url":"https://nivawealth.com/firms/tetley-investments-164130","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/164130","regulatoryAum":193857815,"crd":"164130","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6119885","suffix":null,"lastName":"KOS","firstName":"IAN","middleName":"M"},{"crd":"2403339","suffix":null,"lastName":"TETLEY","firstName":"PHILIP","middleName":"PAUL"},{"crd":"4891069","suffix":null,"lastName":"TETLEY","firstName":"PHILIP","middleName":"EUGENE"}],"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"},"history":[{"filedOn":"2021-05-17","regulatoryAum":129198424,"clients":146,"employees":3,"offices":1},{"filedOn":"2022-02-07","regulatoryAum":145947896,"clients":158,"employees":3,"offices":1},{"filedOn":"2023-03-28","regulatoryAum":131784934,"clients":166,"employees":3,"offices":1},{"filedOn":"2024-02-13","regulatoryAum":156139309,"clients":167,"employees":3,"offices":1},{"filedOn":"2025-02-25","regulatoryAum":173270267,"clients":158,"employees":3,"offices":1},{"filedOn":"2026-03-02","regulatoryAum":193857815,"clients":172,"employees":3,"offices":1}],"secFileNumber":"801-121491","legalName":"Tetley Investments, LLC","displayName":"Tetley Investments","slug":"tetley-investments-164130","website":"https://tetleyinvestments.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/164130/f0b93a6c7736ae18-r1.webp","tone":"light","width":461,"height":200,"sourceUrl":"https://tetleyinvestments.com/","sourceLabel":"Tetley Investments, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/tetleyinvestments/.com","founded":null,"organization":"Illinois limited liability company","fiscalYearEnd":"December","headquarters":{"street":"444 N Northwest Hwy., Suite 245","city":"Park Ridge","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60068"},"tradeNames":[],"registration":{"secApproved":"11 June 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1127080.3197674418,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":193857815,"discretionary":175558514,"discretionaryAccounts":506,"nonDiscretionary":18299301,"nonDiscretionaryAccounts":19,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":54,"regulatoryAum":83777156},{"label":"High-net-worth individuals","clients":118,"regulatoryAum":110080659}],"feePrograms":[{"role":"main","program":"Asset-Based Fee Schedule","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013201","versionId":1013201,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-02","documentName":"TETLEY INVESTMENTS PART 2A BROCHURE","fee_rate_low":1,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning","summary":"Hourly fee of $250, not negotiable; a one-component plan is estimated at $3,000; invoiced monthly in arrears.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013201","versionId":1013201,"submittedOn":"2026-03-02","documentName":"TETLEY INVESTMENTS PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:32:01.21649+00:00","documents":[{"name":"TETLEY INVESTMENTS PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013201","versionId":1013201,"submittedOn":"2026-03-02"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":193857815}],"custodyNote":"Tetley Investments has custody of $71.2M in client assets for 179 clients.","otherCustodians":[],"leadership":[{"name":"Ian Kos","title":"Vice President","crd":"6119885"},{"name":"Gery Sadzewicz","title":"Chief Compliance Officer","crd":"1090963"},{"name":"Philip Tetley","title":"Managing Member","crd":"2403339"}],"ownership":[{"label":"Philip Tetley","detail":"Managing member in the 75% or more ownership band and a control person, since July 2012."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"444 N Northwest Hwy., Suite 245","city":"Park Ridge","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"773-698-6862","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":60},{"label":"U.S. government/agency bonds","percent":7},{"label":"U.S. state and local bonds","percent":5},{"label":"Investment grade corporate bonds","percent":2},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":24},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"2 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/164130/PDF/164130.pdf","brochureDate":"2 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013201","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 Tetley Investments have?","answer":"Tetley Investments has 172 clients and manages $194 million for them, as of March 2026. They include 118 high-net-worth individuals and 54 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Tetley Investments offer?","answer":"Tetley Investments 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":"How much does Tetley Investments charge?","answer":"Tetley Investments charges 1.00% a year for its Asset-Based Fee Schedule. The fee is billed in arrears and is negotiable.","source":"TETLEY INVESTMENTS PART 2A BROCHURE, filed 2 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Tetley Investments use?","answer":"Tetley Investments’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $194M. 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 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Tetley Investments have?","answer":"Tetley Investments has 3 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 Tetley Investments invest in?","answer":"At the end of its last fiscal year, Tetley Investments’ separately managed accounts held 60% exchange-traded equities, 24% registered funds (mutual funds, ETFs, BDCs), 7% U.S. government and agency bonds, 5% state and local bonds, 3% cash and equivalents, 2% investment grade corporate bonds and 2% 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 Tetley Investments?","answer":"Tetley Investments’ direct owner is Philip Tetley (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 2 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Tetley Investments get paid?","answer":"Tetley Investments 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 Tetley Investments?","answer":"Tetley Investments’ main office is at 444 N Northwest Hwy., Suite 245, Park Ridge, IL 60068. Its phone number is 773-698-6862. Its website is tetleyinvestments.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 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."}