{"url":"https://nivawealth.com/firms/tuve-investment-management-226702","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/226702","regulatoryAum":147702966,"crd":"226702","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1190043","suffix":null,"lastName":"TUVE","firstName":"JOHN","middleName":"STANLEY"},{"crd":"6076863","suffix":null,"lastName":"TUVE","firstName":"STANLEY","middleName":"JOHN"}],"total":2,"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":"2021-03-12","regulatoryAum":112820030,"clients":794,"employees":4,"offices":1},{"filedOn":"2022-03-24","regulatoryAum":121117823,"clients":668,"employees":6,"offices":1},{"filedOn":"2023-03-21","regulatoryAum":110756542,"clients":1478,"employees":6,"offices":1},{"filedOn":"2024-03-25","regulatoryAum":118022797,"clients":1450,"employees":6,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":133271675,"clients":1409,"employees":6,"offices":1},{"filedOn":"2026-04-20","regulatoryAum":147702966,"clients":523,"employees":6,"offices":1}],"secFileNumber":"801-100395","legalName":"Tuve Investment Management, Inc.","displayName":"Tuve Investment Management","slug":"tuve-investment-management-226702","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/tuve-investments-inc.","founded":null,"organization":"Iowa corporation","fiscalYearEnd":"December","headquarters":{"street":"227 East San Marnan Drive","city":"Waterloo","state":"IA","stateName":"Iowa","country":"United States","postalCode":"50702"},"tradeNames":[],"registration":{"secApproved":"6 July 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BROCHURE","fee_rate_low":null,"fee_rate_high":1.5,"fee_negotiable":null,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:12:40.511171+00:00","documents":[{"name":"FORM ADV 2A FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1041962","versionId":1041962,"submittedOn":"2026-04-20"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":147702966}],"custodyNote":"Tuve Investment Management has custody of $112M in client assets for 840 clients.","leadership":[{"name":"John Tuve","title":"President","crd":"1190043"},{"name":"Stanley Tuve","title":"Chief Compliance Officer","crd":"6076863"}],"ownership":[{"label":"John Tuve","detail":"President in the 75% or more ownership band and a control person, since July 2015."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Iowa","offices":1,"addresses":[{"street":"227 East San Marnan Drive","city":"Waterloo","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"319-235-0075","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":40},{"label":"U.S. government/agency bonds","percent":10},{"label":"U.S. state and local bonds","percent":2},{"label":"Sovereign bonds","percent":10},{"label":"Investment grade corporate bonds","percent":10},{"label":"Non-investment grade corporate bonds","percent":10},{"label":"Securities issued by registered investment companies or business development companies","percent":15},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"20 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/226702/PDF/226702.pdf","brochureDate":"20 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1041962","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 Tuve Investment Management have?","answer":"Tuve Investment Management has 523 clients and manages $148 million for them, as of April 2026. They include 467 individual clients and 56 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Tuve Investment Management offer?","answer":"Tuve Investment Management 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 Tuve Investment Management charge?","answer":"Tuve Investment Management charges up to 1.50% a year for its Asset Management. The fee is billed in arrears.","source":"FORM ADV 2A FIRM BROCHURE, filed 20 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Tuve Investment Management use?","answer":"Tuve Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $148M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Tuve Investment Management have?","answer":"Tuve Investment Management has 2 investment adviser representatives registered with state securities authorities, out of 6 employees, and 2 perform investment advisory functions. 0 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 Tuve Investment Management invest in?","answer":"At the end of its last fiscal year, Tuve Investment Management’s separately managed accounts held 40% exchange-traded equities, 15% registered funds (mutual funds, ETFs, BDCs), 10% U.S. government and agency bonds, 10% sovereign bonds, 10% investment grade corporate bonds, 10% high-yield corporate bonds, 3% cash and equivalents and 2% 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 Tuve Investment Management?","answer":"Tuve Investment Management’s direct owner is John Tuve (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 20 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Tuve Investment Management get paid?","answer":"Tuve Investment Management 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":"Is Tuve Investment Management registered with the SEC?","answer":"Yes, Tuve Investment Management has been registered with the SEC as an investment adviser since 6 July 2015. Its CRD number is 226702 and its SEC file number is 801-100395.","source":"Form ADV Part 1A, Item 1, filed 20 April 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Tuve Investment Management?","answer":"Tuve Investment Management’s main office is at 227 East San Marnan Drive, Waterloo, IA 50702. Its phone number is 319-235-0075.","source":"Form ADV Part 1A, Item 1.F, filed 20 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."}