{"url":"https://nivawealth.com/firms/the-fauser-group-282351","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/282351","regulatoryAum":314476354,"crd":"282351","history":[{"filedOn":"2021-02-11","regulatoryAum":132876119,"clients":196,"employees":3,"offices":1},{"filedOn":"2022-03-03","regulatoryAum":168994517,"clients":207,"employees":3,"offices":1},{"filedOn":"2023-03-14","regulatoryAum":138230305,"clients":212,"employees":4,"offices":1},{"filedOn":"2024-03-29","regulatoryAum":217735021,"clients":227,"employees":4,"offices":1},{"filedOn":"2025-03-13","regulatoryAum":249997138,"clients":224,"employees":4,"offices":1},{"filedOn":"2026-04-01","regulatoryAum":314476354,"clients":224,"employees":4,"offices":1}],"secFileNumber":"801-118322","legalName":"The Fauser Group, LLC","displayName":"The Fauser Group","slug":"the-fauser-group-282351","website":"https://fausergroup.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/282351/8020640c8f0affe5-r1.webp","tone":"dark","width":1264,"height":200,"sourceUrl":"https://www.fausergroup.com/","sourceLabel":"The Fauser Group, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/thefausergroup/","founded":"2016","organization":"Washington limited liability company","fiscalYearEnd":"December","headquarters":{"street":"3040 78th Ave Se, #591","city":"Mercer Island","state":"WA","stateName":"Washington","country":"United States","postalCode":"98040"},"tradeNames":[],"registration":{"secApproved":"27 March 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1403912.294642857,"staff":{"employees":4,"advisory":1,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":314476354,"discretionary":311830040,"discretionaryAccounts":864,"nonDiscretionary":2646314,"nonDiscretionaryAccounts":6,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":159,"regulatoryAum":107059437},{"label":"High-net-worth individuals","clients":65,"regulatoryAum":207416917}],"feePrograms":[{"role":"other","program":"Financial Planning and Consulting","summary":"Financial planning and consulting are billed hourly at up to $300 an hour, or as flat fees of $1,000 to $10,000, with a 50% retainer.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039716","versionId":1039716,"submittedOn":"2026-04-01","documentName":"FORM ADV PART 2A - FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T15:20:55.019919+00:00","documents":[{"name":"FORM ADV PART 2A - FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039716","versionId":1039716,"submittedOn":"2026-04-01"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Omaha, NE","smaAssets":4466981}],"custodyNote":"The Fauser Group has custody of $247M in client assets for 223 clients.","otherCustodians":[],"leadership":[{"name":"Michael Fauser","title":"Owner and Chief Compliance Officer","crd":"2695008"}],"ownership":[{"label":"Michael Fauser","detail":"Owner and chief compliance officer in the 75% or more ownership band and a control person, since April 2016."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Washington","offices":1,"addresses":[{"street":"3040 78th Ave Se, #591","city":"Mercer Island","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"206-466-2542","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"U.S. government/agency bonds","percent":100}],"privateFunds":0},"sources":{"adv1FilingDate":"1 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/282351/PDF/282351.pdf","brochureDate":"1 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039716","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 The Fauser Group have?","answer":"The Fauser Group has 224 clients and manages $314 million for them, as of April 2026. They include 159 individual clients and 65 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does The Fauser Group offer?","answer":"The Fauser Group provides financial planning, portfolio management for individuals and small businesses, education planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does The Fauser Group use?","answer":"The Fauser Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Omaha, NE), with $4.47M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does The Fauser Group have?","answer":"The Fauser Group has 1 investment adviser representative registered with state securities authorities, out of 4 employees, and 1 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 The Fauser Group invest in?","answer":"At the end of its last fiscal year, The Fauser Group’s separately managed accounts held 100% U.S. government and agency 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 The Fauser Group?","answer":"The Fauser Group’s direct owner is Michael Fauser (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does The Fauser Group get paid?","answer":"The Fauser Group 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":"How do I contact The Fauser Group?","answer":"The Fauser Group’s main office is at 3040 78th Ave Se, #591, Mercer Island, WA 98040. Its phone number is 206-466-2542. Its website is fausergroup.com.","source":"Form ADV Part 1A, Item 1.F, filed 1 April 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."}