{"url":"https://nivawealth.com/firms/ulrich-consulting-and-investment-group-159499","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/159499","regulatoryAum":3619832252,"crd":"159499","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6729426","suffix":null,"lastName":"Gerald","firstName":"Evan","middleName":"Whittier"},{"crd":"7152391","suffix":null,"lastName":"Irving","firstName":"Matthew","middleName":"Scott"},{"crd":"8088085","suffix":null,"lastName":"Mehta","firstName":"Divyank","middleName":null},{"crd":"5908566","suffix":null,"lastName":"RITZ-SCHALK","firstName":"MOLLY","middleName":"PAULI"},{"crd":"7200263","suffix":null,"lastName":"Romero","firstName":"Amanda","middleName":"Marie"},{"crd":"8236701","suffix":null,"lastName":"Schalk","firstName":"Aaron","middleName":"W"},{"crd":"2658555","suffix":null,"lastName":"SIZEMORE","firstName":"JAMES","middleName":"MICHAEL"},{"crd":"4431461","suffix":null,"lastName":"SOLCHER","firstName":"WHITNEY","middleName":"E"},{"crd":"2789599","suffix":null,"lastName":"TISDALE","firstName":"PATRICIA","middleName":"A"},{"crd":"1296113","suffix":null,"lastName":"ULRICH","firstName":"JOHN","middleName":"PAUL"},{"crd":"7718915","suffix":null,"lastName":"Ulrich","firstName":"Matthew","middleName":"John"},{"crd":"4687773","suffix":null,"lastName":"VILLAGRANA","firstName":"KELLY","middleName":"MARIE"}],"total":12,"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":"2021-03-26","regulatoryAum":1678461881,"clients":266,"employees":10,"offices":3},{"filedOn":"2022-06-01","regulatoryAum":1982200342,"clients":212,"employees":11,"offices":5},{"filedOn":"2023-03-29","regulatoryAum":2748530621,"clients":231,"employees":20,"offices":5},{"filedOn":"2024-03-29","regulatoryAum":3279256426,"clients":265,"employees":26,"offices":6},{"filedOn":"2025-03-26","regulatoryAum":3196950001,"clients":278,"employees":27,"offices":6},{"filedOn":"2026-01-30","regulatoryAum":3619832252,"clients":301,"employees":22,"offices":5}],"secFileNumber":"801-72880","legalName":"Ulrich Consulting and Investment Group, LLC","displayName":"Ulrich Consulting and Investment Group","slug":"ulrich-consulting-and-investment-group-159499","website":"https://ulrichcg.com/","classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_wealth_manager","typeLabel":"OCIO / institutional wealth","feeDisclosure":"payment_only"},"founded":null,"organization":"New Mexico limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1805 Rio Grande Boulevard NW, Suite 1","city":"Albuquerque","state":"NM","stateName":"New Mexico","country":"United States","postalCode":"87104"},"tradeNames":["Ulrich of Texas Consulting Group, LLC"],"registration":{"secApproved":"2 December 2011","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":3028598.816666667,"staff":{"employees":22,"advisory":10,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":3619832252,"discretionary":2330782904,"discretionaryAccounts":970,"nonDiscretionary":1289049348,"nonDiscretionaryAccounts":62,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":3},"clientTypes":[{"label":"Individuals (other than HNW)","clients":135,"regulatoryAum":153645518},{"label":"High-net-worth individuals","clients":105,"regulatoryAum":573218198},{"label":"Pension and profit-sharing plans","clients":16,"regulatoryAum":184614221},{"label":"Charitable organizations","clients":18,"regulatoryAum":120696829},{"label":"Corporations and other businesses","clients":6,"regulatoryAum":2794108},{"label":"Other","clients":21,"regulatoryAum":2584863378}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":1853663282},{"name":"Bok Financial Corporation","shortName":"Bok Financial","location":"Tulsa, OK","smaAssets":694366632}],"custodyNote":"Ulrich Consulting and Investment Group has custody of $432M in client assets for 121 clients.","otherCustodians":[],"leadership":[{"name":"John Ulrich","title":"Manager / President","crd":"1296113"},{"name":"Evan Gerald","title":"Chief Compliance Officer & Member","crd":"6729426"},{"name":"James Sizemore","title":"Member","crd":"2658555"},{"name":"Molly Ritz-Schalk","title":"Member","crd":"5908566"},{"name":"Whitney Solcher","title":"Member","crd":"4431461"},{"name":"Matthew Ulrich","title":"Member","crd":"7718915"}],"ownership":[{"label":"Molly Ritz-Schalk","detail":"Member in the 5% to 10% ownership band, since December 2020."},{"label":"Ulrich Consulting Group, LLC","detail":"Member in the 50% to 75% ownership band and a control person, since December 2020."},{"label":"Whitney Solcher","detail":"Member in the 5% to 10% ownership band, since October 2021."},{"label":"Evan Gerald","detail":"Chief compliance officer & member in the 5% to 10% ownership band, since January 2026."},{"label":"Matthew Ulrich","detail":"Member in the 5% to 10% ownership band, since December 2022."},{"label":"John Ulrich","detail":"Indirect owner: a member / manager of Ulrich Consulting Group, LLC in the 75% or more band and a control person, since April 2007.","parent":"Ulrich Consulting Group, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":2},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"New Mexico","offices":1,"addresses":[{"street":"1805 Rio Grande Boulevard NW, Suite 1","city":"Albuquerque","headquarters":true}]},{"state":"Texas","offices":1,"addresses":[{"street":"711 Broadway Ste 355","city":"San Antonio"}]},{"state":"Washington","offices":1,"addresses":[{"street":"111 W Cataldo","city":"Spokane"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"505-224-9100","stateRegisteredReps":9,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":10},{"label":"Non-exchange-traded equity securities","percent":5},{"label":"U.S. government/agency bonds","percent":5},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":53},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":8},{"label":"Cash and cash equivalents","percent":15},{"label":"Other","percent":1,"detail":"Private Equity/Limited Partnership"}],"privateFunds":0},"sources":{"adv1FilingDate":"30 January 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/159499/PDF/159499.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Ulrich Consulting and Investment Group have?","answer":"Ulrich Consulting and Investment Group has 301 clients and manages $3.62 billion for them, as of January 2026. They include 135 individual clients, 105 high-net-worth individuals and 21 other clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 January 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ulrich Consulting and Investment Group offer?","answer":"Ulrich Consulting and Investment Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Ulrich Consulting and Investment Group use?","answer":"Ulrich Consulting and Investment Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $1.85B and Bok Financial Corporation (Tulsa, OK), with $694M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 January 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Ulrich Consulting and Investment Group have?","answer":"Ulrich Consulting and Investment Group has 9 investment adviser representatives registered with state securities authorities, out of 22 employees, and 10 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 Ulrich Consulting and Investment Group invest in?","answer":"At the end of its last fiscal year, Ulrich Consulting and Investment Group’s separately managed accounts held 53% registered funds (mutual funds, ETFs, BDCs), 15% cash and equivalents, 10% exchange-traded equities, 8% pooled vehicles (private funds and similar), 5% non-exchange-traded equities, 5% U.S. government and agency bonds, 1% state and local bonds, 1% investment grade corporate bonds and 1% other. The 1% other category is described as: Private Equity/Limited Partnership.","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 Ulrich Consulting and Investment Group?","answer":"Ulrich Consulting and Investment Group is owned through a holding company by John Ulrich. Its direct owners are Molly Ritz-Schalk (5% to 10%), Ulrich Consulting Group, LLC (50% to 75%), Whitney Solcher (5% to 10%), Evan Gerald (5% to 10%) and Matthew Ulrich (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 January 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ulrich Consulting and Investment Group get paid?","answer":"Ulrich Consulting and Investment Group is paid through a percentage of assets under management, hourly charges 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 Ulrich Consulting and Investment Group?","answer":"Ulrich Consulting and Investment Group’s main office is at 1805 Rio Grande Boulevard NW, Suite 1, Albuquerque, NM 87104. Its phone number is 505-224-9100. Its website is ulrichcg.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 January 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."}