{"url":"https://nivawealth.com/firms/wallender-timothy-joseph-138301","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/138301","regulatoryAum":137315774,"crd":"138301","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2539920","suffix":null,"lastName":"WALLENDER","firstName":"TIMOTHY","middleName":null}],"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":"2025-05-28","regulatoryAum":114880000,"clients":295,"employees":1,"offices":1},{"filedOn":"2026-04-03","regulatoryAum":137315774,"clients":289,"employees":1,"offices":1}],"secFileNumber":"801-131292","legalName":"Wallender, Timothy Joseph","displayName":"Wallender, Timothy Joseph","slug":"wallender-timothy-joseph-138301","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California sole proprietorship","fiscalYearEnd":"December","headquarters":{"street":"1129 Highland Ave #203","city":"Manhattan Beach","state":"CA","stateName":"California","country":"United States","postalCode":"90266"},"tradeNames":[],"registration":{"secApproved":"6 January 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":475141.0865051903,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":137315774,"discretionary":137315774,"discretionaryAccounts":257,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":257,"regulatoryAum":58300874},{"label":"High-net-worth individuals","clients":32,"regulatoryAum":79014900}],"feePrograms":[{"role":"main","program":"Investment advisory services","feeBasis":"marginal","fee_tiers":[{"to":250000,"pct":0.75,"from":3000},{"to":500000,"pct":0.5,"from":250000},{"to":2000000,"pct":0.25,"from":500000},{"to":null,"pct":0.1,"from":2000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040309","versionId":1040309,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-04-03","documentName":"TIMOTHY JOSEPH WALLENDER ADV PART 2A/PART 2B","fee_rate_low":0.1,"fee_rate_high":0.75,"fee_negotiable":null,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:22:34.685145+00:00","documents":[{"name":"TIMOTHY JOSEPH WALLENDER ADV PART 2A/PART 2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040309","versionId":1040309,"submittedOn":"2026-04-03"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":137315774}],"custodyNote":"Wallender, Timothy Joseph has custody of $207K in client assets for 1 client.","otherCustodians":[],"leadership":[{"name":"Timothy Wallender","title":"Owner, CCO","crd":"2539920"}],"ownership":[{"label":"Timothy Wallender","detail":"Owner, cco in the 75% or more ownership band and a control person, since January 1989."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"1129 Highland Ave #203","city":"Manhattan Beach","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"310-318-3255","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":100}],"privateFunds":0},"sources":{"adv1FilingDate":"3 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/138301/PDF/138301.pdf","brochureDate":"3 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040309","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 Wallender, Timothy Joseph have?","answer":"Wallender, Timothy Joseph has 289 clients and manages $137 million for them, as of April 2026. They include 257 individual clients and 32 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 3 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wallender, Timothy Joseph offer?","answer":"Wallender, Timothy Joseph 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 Wallender, Timothy Joseph charge?","answer":"Wallender, Timothy Joseph charges 0.10%–0.75% a year for its Investment advisory services. Each asset band is charged at its own rate. The fee is billed in advance.","source":"TIMOTHY JOSEPH WALLENDER ADV PART 2A/PART 2B, filed 3 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Wallender, Timothy Joseph use?","answer":"Wallender, Timothy Joseph’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $137M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wallender, Timothy Joseph have?","answer":"Wallender, Timothy Joseph has 0 investment adviser representatives registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Wallender, Timothy Joseph invest in?","answer":"At the end of its last fiscal year, Wallender, Timothy Joseph’s separately managed accounts held 100% registered funds (mutual funds, ETFs, BDCs).","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 Wallender, Timothy Joseph?","answer":"Wallender, Timothy Joseph’s direct owner is Timothy Wallender (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 3 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wallender, Timothy Joseph get paid?","answer":"Wallender, Timothy Joseph is paid through a percentage of assets under management. 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 Wallender, Timothy Joseph?","answer":"Wallender, Timothy Joseph’s main office is at 1129 Highland Ave #203, Manhattan Beach, CA 90266. Its phone number is 310-318-3255.","source":"Form ADV Part 1A, Item 1.F, filed 3 April 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."}