{"url":"https://nivawealth.com/firms/wagner-financial-318448","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/318448","regulatoryAum":144746111,"crd":"318448","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4407622","suffix":null,"lastName":"WAGNER","firstName":"SANDRA","middleName":"J."}],"total":1,"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":"2022-04-01","regulatoryAum":0,"clients":0,"employees":5,"offices":1},{"filedOn":"2023-03-03","regulatoryAum":95179303,"clients":188,"employees":5,"offices":1},{"filedOn":"2024-03-26","regulatoryAum":114517841,"clients":196,"employees":5,"offices":1},{"filedOn":"2025-01-27","regulatoryAum":127933708,"clients":198,"employees":4,"offices":1},{"filedOn":"2026-03-10","regulatoryAum":144746111,"clients":203,"employees":5,"offices":1}],"secFileNumber":"801-124939","legalName":"Wagner Financial, LLC","displayName":"Wagner Financial","slug":"wagner-financial-318448","website":"https://wagnerplanning.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/wagner-planning","founded":null,"organization":"Oregon limited liability company","fiscalYearEnd":"December","headquarters":{"street":"4260 Galewood Street, Suite A","city":"Lake Oswego","state":"OR","stateName":"Oregon","country":"United States","postalCode":"97035"},"tradeNames":[],"registration":{"secApproved":"29 April 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":713035.0295566502,"staff":{"employees":5,"advisory":2,"brokerDealerReps":1,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":144746111,"discretionary":144746111,"discretionaryAccounts":397,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":3},"clientTypes":[{"label":"Individuals (other than HNW)","clients":134,"regulatoryAum":48706333},{"label":"High-net-worth individuals","clients":69,"regulatoryAum":96039778}],"feePrograms":[{"role":"main","program":"Asset management services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016632","versionId":1016632,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-10","documentName":"WAGNER PLANNING FIRM BROCHURE","fee_rate_low":0.5,"fee_rate_high":1.6,"fee_negotiable":false,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning and consulting","summary":"Fixed fee typically $2,000 to $4,000, or hourly up to $375, invoiced on delivery of the plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016632","versionId":1016632,"submittedOn":"2026-03-10","documentName":"WAGNER PLANNING FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T17:09:49.908186+00:00","documents":[{"name":"WAGNER PLANNING FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016632","versionId":1016632,"submittedOn":"2026-03-10"}]},"custodians":[{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":144746111}],"custodyNote":"Wagner Financial has custody of $79.6M in client assets for 174 clients.","otherCustodians":[],"leadership":[{"name":"Sandra Wagner","title":"Chief Compliance Officer","crd":"4407622"}],"ownership":[{"label":"Sandra J. Wagner Trust U/A/D 6/22/2011","detail":"Member in the 75% or more ownership band and a control person, since July 2011."},{"label":"Sandra Wagner","detail":"Indirect owner: trustee of Sandra J. Wagner Trust U/A/D 6/22/2011 and a control person, since June 2011.","parent":"Sandra J. Wagner Trust U/A/D 6/22/2011"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Oregon","offices":1,"addresses":[{"street":"4260 Galewood Street, Suite A","city":"Lake Oswego","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"503-342-0038","stateRegisteredReps":1,"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"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":10},{"label":"Securities issued by registered investment companies or business development companies","percent":77},{"label":"Cash and cash equivalents","percent":13}],"privateFunds":0},"sources":{"adv1FilingDate":"10 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/318448/PDF/318448.pdf","brochureDate":"10 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016632","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 Wagner Financial have?","answer":"Wagner Financial has 203 clients and manages $145 million for them, as of March 2026. They include 134 individual clients and 69 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wagner Financial offer?","answer":"Wagner Financial provides financial planning and 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 Wagner Financial charge?","answer":"Wagner Financial charges 0.50%–1.60% a year for its Asset management services. The fee is billed in advance and is not negotiable.","source":"WAGNER PLANNING FIRM BROCHURE, filed 10 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Wagner Financial use?","answer":"Wagner Financial’s separately managed account assets are held at Pershing LLC (Jersey City, NJ), with $145M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wagner Financial have?","answer":"Wagner Financial has 1 investment adviser representative registered with state securities authorities, out of 5 employees, and 2 perform investment advisory functions. 1 employee is a registered representative 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 Wagner Financial invest in?","answer":"At the end of its last fiscal year, Wagner Financial’s separately managed accounts held 77% registered funds (mutual funds, ETFs, BDCs), 13% cash and equivalents and 10% exchange-traded equities.","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 Wagner Financial?","answer":"Wagner Financial’s direct owner is Sandra J. Wagner Trust U/A/D 6/22/2011 (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wagner Financial get paid?","answer":"Wagner Financial 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 Wagner Financial?","answer":"Wagner Financial’s main office is at 4260 Galewood Street, Suite A, Lake Oswego, OR 97035. Its phone number is 503-342-0038. Its website is wagnerplanning.com.","source":"Form ADV Part 1A, Item 1.F, filed 10 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."}