{"url":"https://nivawealth.com/firms/vantage-wealth-management-152374","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/152374","regulatoryAum":1123017456,"crd":"152374","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2006559","suffix":null,"lastName":"FERNELIUS","firstName":"DAVID","middleName":"VAL"},{"crd":"5433952","suffix":null,"lastName":"GRIFFITHS","firstName":"MITONE","middleName":"MENDEZONA"},{"crd":"5204771","suffix":null,"lastName":"LEE","firstName":"JOHN","middleName":"D"},{"crd":"4430790","suffix":null,"lastName":"NAVARRO","firstName":"BRANDY","middleName":"MICHELE 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LLC","displayName":"Vantage Wealth Management","slug":"vantage-wealth-management-152374","website":"https://vantagewealthmgmt.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2007","organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"66 Bovet Road, Ste. 310","city":"San Mateo","state":"CA","stateName":"California","country":"United States","postalCode":"94402"},"tradeNames":[],"registration":{"secApproved":"4 January 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hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018726","versionId":1018726,"submittedOn":"2026-03-13","documentName":"VANTAGE WEALTH MANAGEMENT INVESTMENT ADVISORY SERVICES"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T06:52:19.740352+00:00","documents":[{"name":"VANTAGE WEALTH MANAGEMENT INVESTMENT ADVISORY SERVICES","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018726","versionId":1018726,"submittedOn":"2026-03-13"}]},"custodians":[{"name":"SEI Private Trust Company","shortName":"SEI Private Trust","location":"Oaks, PA","smaAssets":1052511897}],"custodyNote":"Vantage Wealth Management does not have custody of client assets.","leadership":[{"name":"Sarah Kardavani","title":"Chief Compliance Officer","crd":"6350499"},{"name":"David Fernelius","title":"Managing Member","crd":"2006559"},{"name":"Brandy Navarro","title":"Member","crd":"4430790"},{"name":"Tom O'Brien","title":"Member","crd":"5529111"},{"name":"John Lee","title":"Member","crd":"5204771"},{"name":"Robert Stafford","title":"Member","crd":"4671748"}],"ownership":[{"label":"David Fernelius","detail":"Managing member in the 10% to 25% ownership band and a control person, since February 2007."},{"label":"Brandy Navarro","detail":"Member in the 10% to 25% ownership band and a control person, since February 2007."},{"label":"Tom O'Brien","detail":"Member in the 10% to 25% ownership band and a control person, since July 2020."},{"label":"John Lee","detail":"Member in the 10% to 25% ownership band and a control person, since February 2015."},{"label":"Robert Stafford","detail":"Member in the 10% to 25% ownership band and a control person, since January 2023."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"66 Bovet Road, Ste. 310","city":"San Mateo","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"650-638-9600","stateRegisteredReps":8,"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","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":26},{"label":"U.S. state and 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They include 371 individual clients, 264 high-net-worth individuals, and 4 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 13 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Vantage Wealth Management offer?","answer":"Vantage Wealth Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, education planning, estate planning, and insurance.","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":"How much does Vantage Wealth Management charge?","answer":"Vantage Wealth Management charges 0.25%–1.00% a year for its Asset management services. Each asset band is charged at its own rate. The fee requires an account of at least $1,000,000.","source":"VANTAGE WEALTH MANAGEMENT INVESTMENT ADVISORY SERVICES, filed 13 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Vantage Wealth Management use?","answer":"Vantage Wealth Management’s separately managed account assets are held at SEI Private Trust Company (Oaks, PA), with $1.05B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Vantage Wealth Management have?","answer":"Vantage Wealth Management has 8 investment adviser representatives registered with state securities authorities, out of 9 employees, and 7 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 7 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 Vantage Wealth Management invest in?","answer":"At the end of its last fiscal year, Vantage Wealth Management’s separately managed accounts held 67% registered funds (mutual funds, ETFs, BDCs), 26% exchange-traded equities, 3% state and local bonds, 3% cash and equivalents and 1% investment grade corporate 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":"Does Vantage Wealth Management have a minimum investment?","answer":"Yes, Vantage Wealth Management’s minimum account size for its Asset management services is $1M.","source":"VANTAGE WEALTH MANAGEMENT INVESTMENT ADVISORY SERVICES, filed 13 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Vantage Wealth Management?","answer":"Vantage Wealth Management’s direct owners are David Fernelius, Brandy Navarro, Tom O'Brien, John Lee and Robert Stafford, each holding 25% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 13 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Vantage Wealth Management get paid?","answer":"Vantage Wealth Management 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":"Is Vantage Wealth Management registered with the SEC?","answer":"Yes, Vantage Wealth Management has been registered with the SEC as an investment adviser since 4 January 2010. Its CRD number is 152374 and its SEC file number is 801-70921.","source":"Form ADV Part 1A, Item 1, filed 13 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Vantage Wealth Management?","answer":"Vantage Wealth Management’s main office is at 66 Bovet Road, Ste. 310, San Mateo, CA 94402. Its phone number is 650-638-9600. Its website is vantagewealthmgmt.com.","source":"Form ADV Part 1A, Item 1.F, filed 13 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."}