{"url":"https://nivawealth.com/firms/vistica-wealth-advisors-147297","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/147297","regulatoryAum":260142729,"crd":"147297","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5282338","suffix":null,"lastName":"REGAN","firstName":"ALLEN","middleName":"GOULD"},{"crd":"3090498","suffix":null,"lastName":"SKOCZEK","firstName":"CHRISTINE","middleName":"D."},{"crd":"6459720","suffix":null,"lastName":"VISTICA","firstName":"DANIEL","middleName":"JEROME"},{"crd":"4327275","suffix":null,"lastName":"VISTICA","firstName":"JEFFREY","middleName":"FRANK"}],"total":4,"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":101829987,"clients":64,"employees":3,"offices":1},{"filedOn":"2022-03-14","regulatoryAum":124982908,"clients":68,"employees":3,"offices":1},{"filedOn":"2023-06-20","regulatoryAum":118480816,"clients":70,"employees":3,"offices":1},{"filedOn":"2024-03-15","regulatoryAum":103482628,"clients":75,"employees":4,"offices":2},{"filedOn":"2025-05-07","regulatoryAum":131647807,"clients":75,"employees":5,"offices":5},{"filedOn":"2026-05-07","regulatoryAum":260142729,"clients":122,"employees":5,"offices":5}],"secFileNumber":"801-121024","legalName":"Vistica 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They include 66 high-net-worth individuals, 43 individual clients, and 11 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 7 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Vistica Wealth Advisors offer?","answer":"Vistica Wealth Advisors provides financial planning, portfolio management for individuals and small businesses, selecting other managers, business succession planning, education planning, estate planning, insurance, retirement plan services, and tax planning.","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 Vistica Wealth Advisors charge?","answer":"Vistica Wealth Advisors charges up to 1.25% a year for its Investment management services. The fee is billed in arrears and is negotiable.","source":"VISTICA WEALTH ADVISORS ADV PART 2A, filed 7 May 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Vistica Wealth Advisors use?","answer":"Vistica Wealth Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $244M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 7 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Vistica Wealth Advisors have?","answer":"Vistica Wealth Advisors has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Vistica Wealth Advisors invest in?","answer":"At the end of its last fiscal year, Vistica Wealth Advisors’ separately managed accounts held 67% registered funds (mutual funds, ETFs, BDCs), 13% cash and equivalents, 8% U.S. government and agency bonds, 5% state and local bonds, 4% exchange-traded equities and 2% pooled vehicles (private funds and similar).","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 Vistica Wealth Advisors?","answer":"Vistica Wealth Advisors is owned through a trust by Lily and Jeffrey Vistica. Its direct owner is Jeffrey and Lily Vistica Trust (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 7 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Vistica Wealth Advisors get paid?","answer":"Vistica Wealth Advisors 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 Vistica Wealth Advisors registered with the SEC?","answer":"Yes, Vistica Wealth Advisors has been registered with the SEC as an investment adviser since 29 April 2021. Its CRD number is 147297 and its SEC file number is 801-121024.","source":"Form ADV Part 1A, Item 1, filed 7 May 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Vistica Wealth Advisors?","answer":"Vistica Wealth Advisors’ main office is at 2121 Palomar Airport Road, Suite 160, Carlsbad, CA 92011. Its phone number is 760-854-4003. 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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."}