{"url":"https://nivawealth.com/firms/wallace-hart-285981","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/285981","regulatoryAum":264001265,"crd":"285981","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5374616","suffix":null,"lastName":"BEDELL","firstName":"JESSICA","middleName":"LOUISE"},{"crd":"6027005","suffix":null,"lastName":"HART","firstName":"MICHAEL","middleName":"ANDREW"},{"crd":"7972265","suffix":null,"lastName":"Smith","firstName":"Brandon","middleName":"Jay"},{"crd":"3040496","suffix":null,"lastName":"wallace","firstName":"jeremy","middleName":null},{"crd":"7858778","suffix":null,"lastName":"Williams","firstName":"Darren","middleName":null}],"total":5,"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":"2021-03-02","regulatoryAum":215000000,"clients":186,"employees":5,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":242220000,"clients":200,"employees":5,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":214691810,"clients":213,"employees":3,"offices":1},{"filedOn":"2024-03-19","regulatoryAum":234437210,"clients":213,"employees":5,"offices":1},{"filedOn":"2025-07-11","regulatoryAum":255607816,"clients":225,"employees":6,"offices":2},{"filedOn":"2026-03-24","regulatoryAum":264001265,"clients":230,"employees":5,"offices":1}],"secFileNumber":"801-108930","legalName":"Wallace Hart LLC","displayName":"Wallace Hart","slug":"wallace-hart-285981","website":"https://wallacehart.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/wallacehart/","founded":"2016","organization":"Kentucky limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1792 Alysheba Way, Suite 390","city":"Lexington","state":"KY","stateName":"Kentucky","country":"United States","postalCode":"40509"},"tradeNames":[],"registration":{"secApproved":"13 January 2017","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1066843.9295154186,"staff":{"employees":5,"advisory":3,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":264001265,"discretionary":260806027,"discretionaryAccounts":820,"nonDiscretionary":3195238,"nonDiscretionaryAccounts":53,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":5},"clientTypes":[{"label":"Individuals (other than HNW)","clients":138,"regulatoryAum":52825278},{"label":"High-net-worth individuals","clients":89,"regulatoryAum":189348294},{"label":"Pooled investment vehicles","clients":2,"regulatoryAum":17521012},{"label":"Pension and profit-sharing plans","clients":1,"regulatoryAum":4306681}],"feePrograms":[{"role":"other","program":"Stand-alone Financial Planning","summary":"Stand-alone financial planning fees are negotiated at engagement and are normally based on the scope of the engagement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024593","versionId":1024593,"submittedOn":"2026-03-24","documentName":"WALLACE HART CAPITAL MANAGEMENT - PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T10:17:03.755761+00:00","documents":[{"name":"WALLACE HART CAPITAL MANAGEMENT - PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024593","versionId":1024593,"submittedOn":"2026-03-24"}]},"custodians":[{"name":"Raymond James & Associates, Inc.","shortName":"Raymond James","location":"St. Petersberg, FL","smaAssets":214744482}],"custodyNote":"Wallace Hart has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jessica Bedell","title":"Chief Compliance Officer","crd":"5374616"},{"name":"Michael Hart","title":"Founder, Member & Chief Planning Strategist","crd":"6027005"},{"name":"Jeremy Wallace","title":"Founder, Elected Manager & Chief Investment Officer","crd":"3040496"}],"ownership":[{"label":"Bourne Wallace, LLC","detail":"Owner in the 50% to 75% ownership band and a control person, since July 2019."},{"label":"Hart Consulting, LLC","detail":"Owner in the 25% to 50% ownership band and a control person, since July 2019."},{"label":"Jeremy Wallace","detail":"Indirect owner: a manager and member of Bourne Wallace, LLC in the 75% or more band and a control person, since June 2019.","parent":"Bourne Wallace, LLC"},{"label":"Michael Hart","detail":"Indirect owner: a manager and member of Hart Consulting, LLC in the 75% or more band and a control person, since June 2019.","parent":"Hart Consulting, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Kentucky","offices":1,"addresses":[{"street":"1792 Alysheba Way, Suite 390","city":"Lexington","headquarters":true}]}],"brochureServices":["insurance"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"859-300-3030","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":14},{"label":"Securities issued by registered investment companies or business development companies","percent":54},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":6},{"label":"Cash and cash equivalents","percent":26}],"privateFunds":1},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/285981/PDF/285981.pdf","brochureDate":"24 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024593","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 Wallace Hart have?","answer":"Wallace Hart has 230 clients and manages $264 million for them, as of March 2026. They include 138 individual clients, 89 high-net-worth individuals and 2 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wallace Hart offer?","answer":"Wallace Hart provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, 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":"Which custodians does Wallace Hart use?","answer":"Wallace Hart’s separately managed account assets are held at Raymond James & Associates, Inc. (St. Petersberg, FL), with $215M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wallace Hart have?","answer":"Wallace Hart has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 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 Wallace Hart invest in?","answer":"At the end of its last fiscal year, Wallace Hart’s separately managed accounts held 54% registered funds (mutual funds, ETFs, BDCs), 26% cash and equivalents, 14% exchange-traded equities and 6% pooled vehicles (private funds and similar). It advises 1 private fund.","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 Wallace Hart?","answer":"Wallace Hart is owned through holding companies by Jeremy Wallace and Michael Hart. Its direct owners are Bourne Wallace, LLC (50% to 75%) and Hart Consulting, LLC (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wallace Hart get paid?","answer":"Wallace Hart is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions 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 Wallace Hart?","answer":"Wallace Hart’s main office is at 1792 Alysheba Way, Suite 390, Lexington, KY 40509. Its phone number is 859-300-3030. Its website is wallacehart.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/wallace-hart-285981/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-13","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2018963/000139834426014386/0001398344-26-014386-index.html","totalValue":160040819,"positionCount":45,"top10Share":0.8401005808399419,"top10":[{"issuer":"INVESCO QQQ TR","titleOfClass":"UNIT SER 1","cusip":"46090E103","value":55954618,"shares":75984,"shareType":"SH","priorValue":4087589,"priorShares":7082},{"issuer":"STATE STR SPDR S&P 500 ETF T","titleOfClass":"TR UNIT","cusip":"78462F103","value":49479487,"shares":66258,"shareType":"SH","priorValue":41426008,"priorShares":63699},{"issuer":"TEXAS PACIFIC LAND 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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."}