{"url":"https://nivawealth.com/firms/wallick-investments-162976","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/162976","regulatoryAum":168303749,"crd":"162976","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8093053","suffix":null,"lastName":"Matise","firstName":"Victoria","middleName":null},{"crd":"5465995","suffix":"JR","lastName":"STINNETTE","firstName":"JESSE","middleName":"WADE"},{"crd":"4334083","suffix":null,"lastName":"WALLICK","firstName":"DANIEL","middleName":"T"}],"total":3,"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":"2025-07-09","regulatoryAum":112397270,"clients":231,"employees":3,"offices":1},{"filedOn":"2026-08-24","regulatoryAum":168303749,"clients":304,"employees":5,"offices":1}],"secFileNumber":"801-133719","legalName":"Wallick Investments, LLC","displayName":"Wallick Investments","slug":"wallick-investments-162976","website":"https://wallickinvestments.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/wallickinvestments/?viewAsMember=true","founded":null,"organization":"South Carolina limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2118 Lincoln Street","city":"Columbia","state":"SC","stateName":"South Carolina","country":"United States","postalCode":"29201"},"tradeNames":[],"registration":{"secApproved":"24 June 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ETF.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055787","versionId":1055787,"submittedOn":"2026-08-24","documentName":"WALLICK INVESTMENTS, LLC ADV BROCHURE 2025"},{"role":"other","program":"Investment advisement","summary":"Advice-only investment advisement is a maximum of 0.75% of investable assets, with a $500 minimum fee, one-time or ongoing.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055787","versionId":1055787,"submittedOn":"2026-08-24","documentName":"WALLICK INVESTMENTS, LLC ADV BROCHURE 2025"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:30:54.11554+00:00","documents":[{"name":"WALLICK INVESTMENTS, LLC ADV BROCHURE 2025","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055787","versionId":1055787,"submittedOn":"2026-08-24"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":44291456},{"name":"Folio Investments, Inc.","shortName":"Folio Investments","location":"McLean, VA","smaAssets":124012293}],"custodyNote":"Wallick Investments does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Daniel Wallick","title":"Managing Partner, Chief Compliance Officer, Chief Investments Officer","crd":"4334083"},{"name":"Jesse Stinnette","title":"Capital Partner/Portfolio Manager","crd":"5465995"},{"name":"Patricia Stoner","title":"Capital Partner","crd":"6295333"},{"name":"Susan Wallick","title":"Principal, Director of Marketing and Communications","crd":"6762843"}],"ownership":[{"label":"Daniel Wallick","detail":"Managing partner, chief compliance officer, chief investments officer in the 50% to 75% ownership band and a control person, since June 2005."},{"label":"Patricia Stoner","detail":"Capital partner in the 5% to 10% ownership band, since August 2013."},{"label":"Jesse Stinnette","detail":"Capital partner/portfolio manager in the 10% to 25% ownership band and a control person, since March 2015."},{"label":"Susan Wallick","detail":"Principal, director of marketing and communications in the 10% to 25% ownership band and a control person, since January 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"South Carolina","offices":1,"addresses":[{"street":"2118 Lincoln Street","city":"Columbia","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"803-699-9400","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["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)","Educational seminars/workshops","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":25},{"label":"U.S. government/agency bonds","percent":8},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":54},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"24 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/162976/PDF/162976.pdf","brochureDate":"24 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055787","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 Wallick Investments have?","answer":"Wallick Investments has 304 clients and manages $168 million for them, as of August 2026. They include 244 individual clients, 53 high-net-worth individuals and 6 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wallick Investments offer?","answer":"Wallick Investments provides portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Wallick Investments use?","answer":"Wallick Investments’ separately managed account assets are held at Folio Investments, Inc. (McLean, VA), with $124M and Charles Schwab & Co., Inc. (Westlake, TX), with $44.3M. 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 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wallick Investments have?","answer":"Wallick Investments has 3 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 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 Wallick Investments invest in?","answer":"At the end of its last fiscal year, Wallick Investments’ separately managed accounts held 54% registered funds (mutual funds, ETFs, BDCs), 25% exchange-traded equities, 8% U.S. government and agency bonds, 6% investment grade corporate bonds, 6% cash and equivalents and 1% state and local 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":"Who owns Wallick Investments?","answer":"Wallick Investments’ direct owners are Daniel Wallick (50% to 75%), Patricia Stoner (5% to 10%), Jesse Stinnette (10% to 25%) and Susan Wallick (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 24 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wallick Investments get paid?","answer":"Wallick Investments is paid through a percentage of assets under management and other compensation. 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 Wallick Investments?","answer":"Wallick Investments’ main office is at 2118 Lincoln Street, Columbia, SC 29201. Its phone number is 803-699-9400. Its website is wallickinvestments.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 August 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."}