{"url":"https://nivawealth.com/firms/thielen-capital-169139","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/169139","regulatoryAum":126020017,"crd":"169139","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4525121","suffix":"IV","lastName":"THIELEN","firstName":"ARTHUR","middleName":"JOHN"}],"total":1,"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":"2025-04-25","regulatoryAum":100440308,"clients":79,"employees":1,"offices":1},{"filedOn":"2026-03-24","regulatoryAum":126020017,"clients":82,"employees":1,"offices":1}],"secFileNumber":"801-132866","legalName":"Thielen Capital Corporation","displayName":"Thielen Capital","slug":"thielen-capital-169139","website":"https://thielencapital.com/","classification":{"segment":"individuals","segmentLabel":"Wealth 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Management Services","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":null,"pct":0.7,"from":1000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024473","versionId":1024473,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-24","documentName":"THIELEN CAPITAL CORPORATION ADV BROCHURE","fee_rate_low":0.7,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Retirement plan consulting","summary":"Retirement plan consulting is negotiated with the plan sponsor or named fiduciary and charged up to 0.50% of total plan assets.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024473","versionId":1024473,"submittedOn":"2026-03-24","documentName":"THIELEN CAPITAL CORPORATION ADV BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:48:50.640825+00:00","documents":[{"name":"THIELEN CAPITAL CORPORATION ADV BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024473","versionId":1024473,"submittedOn":"2026-03-24"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":99949070},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":25297999}],"custodyNote":"Thielen Capital does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Arthur Thielen","title":"President/Chief Compliance Officer","crd":"4525121"}],"ownership":[{"label":"Arthur Thielen","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since October 2013."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"999 Corporate Drive, Suite 100","city":"Ladera Ranch","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"949-293-8345","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":19},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":69},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/169139/PDF/169139.pdf","brochureDate":"24 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024473","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 Thielen Capital have?","answer":"Thielen Capital has 82 clients and manages $126 million for them, as of March 2026. They include 60 high-net-worth individuals and 22 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Thielen Capital offer?","answer":"Thielen Capital provides portfolio management for individuals and small businesses 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 Thielen Capital charge?","answer":"Thielen Capital charges 0.70%–1.00% a year for its Portfolio Management Services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"THIELEN CAPITAL CORPORATION ADV BROCHURE, filed 24 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Thielen Capital use?","answer":"Thielen Capital’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $99.9M and Fidelity Brokerage Services LLC (Smithfield, RI), with $25.3M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Thielen Capital have?","answer":"Thielen Capital has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 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 Thielen Capital invest in?","answer":"At the end of its last fiscal year, Thielen Capital’s separately managed accounts held 69% registered funds (mutual funds, ETFs, BDCs), 19% exchange-traded equities, 10% cash and equivalents, 1% U.S. government and agency bonds and 1% state and local 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 Thielen Capital?","answer":"Thielen Capital’s direct owner is Arthur Thielen (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Thielen Capital get paid?","answer":"Thielen Capital is paid through a percentage of assets under management 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 Thielen Capital?","answer":"Thielen Capital’s main office is at 999 Corporate Drive, Suite 100, Ladera Ranch, CA 92694. Its phone number is 949-293-8345. Its website is thielencapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 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."}