{"url":"https://nivawealth.com/firms/trotta-john-nmn-125537","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/125537","regulatoryAum":135000000,"crd":"125537","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7424563","suffix":null,"lastName":"Braun","firstName":"Leslie","middleName":"A"},{"crd":"7396740","suffix":null,"lastName":"siegfried","firstName":"david","middleName":null},{"crd":"1853327","suffix":null,"lastName":"TROTTA","firstName":"JOHN","middleName":"NMN"}],"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":"2021-03-30","regulatoryAum":113000000,"clients":229,"employees":5,"offices":1},{"filedOn":"2022-02-22","regulatoryAum":130000000,"clients":170,"employees":5,"offices":1},{"filedOn":"2023-02-08","regulatoryAum":135000000,"clients":186,"employees":5,"offices":1},{"filedOn":"2024-02-21","regulatoryAum":140000000,"clients":184,"employees":5,"offices":1},{"filedOn":"2025-02-17","regulatoryAum":146000000,"clients":176,"employees":5,"offices":1},{"filedOn":"2026-02-16","regulatoryAum":135000000,"clients":158,"employees":4,"offices":1}],"secFileNumber":"801-79944","legalName":"Trotta, John  (NMN)","displayName":"Trotta, John  (NMN)","slug":"trotta-john-nmn-125537","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"New York sole proprietorship","fiscalYearEnd":"December","headquarters":{"street":"1111 Route 110, Suite 359","city":"Farmingdale","state":"NY","stateName":"New York","country":"United States","postalCode":"11735"},"tradeNames":["Financial Advisor Network, Inc."],"registration":{"secApproved":"26 June 2014","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":854430.3797468354,"staff":{"employees":4,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":135000000,"discretionary":135000000,"discretionaryAccounts":315,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":111,"regulatoryAum":45000000},{"label":"High-net-worth individuals","clients":47,"regulatoryAum":90000000}],"feePrograms":[{"role":"main","program":"Investment Supervisory Service","feeBasis":"marginal","fee_tiers":[{"to":250000,"pct":1.25,"from":0},{"to":1000000,"pct":0.9,"from":250000},{"to":2000000,"pct":0.75,"from":1000000},{"to":null,"pct":0.5,"from":2000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009196","versionId":1009196,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-02-16","documentName":"PART 2A: FIRM BROCHURE & PART 2B BROCHURE SUPPLEMENTS 2026","fee_rate_low":0.5,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":250000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Other service fees","summary":"Other services are charged at $300 per hour, payable upon completion of services.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009196","versionId":1009196,"submittedOn":"2026-02-16","documentName":"PART 2A: FIRM BROCHURE & PART 2B BROCHURE SUPPLEMENTS 2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:47:37.585641+00:00","documents":[{"name":"PART 2A: FIRM BROCHURE & PART 2B BROCHURE SUPPLEMENTS 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009196","versionId":1009196,"submittedOn":"2026-02-16"}]},"custodians":[],"custodyNote":"Trotta, John  (NMN) does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Sandra D'Andrea","title":"Chief Compliance Officer","crd":"6757480"},{"name":"John Trotta","title":"Sole Proprietor","crd":"1853327"}],"ownership":[{"label":"John Trotta","detail":"Sole proprietor in the 75% or more ownership band and a control person, since June 1992."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"1111 Route 110, Suite 359","city":"Farmingdale","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"631-226-9046","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":63},{"label":"U.S. state and local bonds","percent":5},{"label":"Investment grade corporate bonds","percent":22},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Cash and cash equivalents","percent":9}],"privateFunds":0},"sources":{"adv1FilingDate":"16 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/125537/PDF/125537.pdf","brochureDate":"16 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009196","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 Trotta, John  (NMN) have?","answer":"Trotta, John  (NMN) has 158 clients and manages $135 million for them, as of February 2026. They include 111 individual clients and 47 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Trotta, John  (NMN) offer?","answer":"Trotta, John  (NMN) provides 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 Trotta, John  (NMN) charge?","answer":"Trotta, John  (NMN) charges 0.50%–1.25% a year for its Investment Supervisory Service. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and requires an account of at least $250,000.","source":"PART 2A: FIRM BROCHURE & PART 2B BROCHURE SUPPLEMENTS 2026, filed 16 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Trotta, John  (NMN) have?","answer":"Trotta, John  (NMN) has 2 investment adviser representatives registered with state securities authorities, out of 4 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 Trotta, John  (NMN) invest in?","answer":"At the end of its last fiscal year, Trotta, John  (NMN)’s separately managed accounts held 63% exchange-traded equities, 22% investment grade corporate bonds, 9% cash and equivalents, 5% state and local bonds and 1% registered funds (mutual funds, ETFs, BDCs).","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":"Does Trotta, John  (NMN) have a minimum investment?","answer":"Yes, Trotta, John  (NMN)’s minimum account size for its Investment Supervisory Service is $250K.","source":"PART 2A: FIRM BROCHURE & PART 2B BROCHURE SUPPLEMENTS 2026, filed 16 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Trotta, John  (NMN)?","answer":"Trotta, John  (NMN)’s direct owner is John Trotta (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 16 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Trotta, John  (NMN) get paid?","answer":"Trotta, John  (NMN) 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 Trotta, John  (NMN)?","answer":"Trotta, John  (NMN)’s main office is at 1111 Route 110, Suite 359, Farmingdale, NY 11735. Its phone number is 631-226-9046.","source":"Form ADV Part 1A, Item 1.F, filed 16 February 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."}