{"url":"https://nivawealth.com/firms/walsky-investment-management-106991","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/106991","regulatoryAum":130176804,"crd":"106991","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4587391","suffix":null,"lastName":"HAFER","firstName":"CRAIG","middleName":"DOUGLAS"},{"crd":"4362541","suffix":null,"lastName":"WARD","firstName":"ELIZABETH","middleName":"ANN"}],"total":2,"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":"2022-04-04","regulatoryAum":119977638,"clients":98,"employees":2,"offices":1},{"filedOn":"2023-03-28","regulatoryAum":110826179,"clients":104,"employees":2,"offices":1},{"filedOn":"2024-03-15","regulatoryAum":116997451,"clients":97,"employees":2,"offices":1},{"filedOn":"2025-03-26","regulatoryAum":122268369,"clients":96,"employees":2,"offices":1},{"filedOn":"2026-03-12","regulatoryAum":130176804,"clients":107,"employees":2,"offices":1}],"secFileNumber":"801-124822","legalName":"Walsky Investment Management Inc","displayName":"Walsky Investment Management","slug":"walsky-investment-management-106991","website":"https://walsky.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/106991/bca2dacb74e043d8-r1.webp","tone":"light","width":324,"height":200,"sourceUrl":"https://walsky.com/","sourceLabel":"Walsky Investment Management INC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Pennsylvania corporation","fiscalYearEnd":"December","headquarters":{"street":"2650 Westview Drive","city":"Wyomissing","state":"PA","stateName":"Pennsylvania","country":"United States","postalCode":"19610-1187"},"tradeNames":[],"registration":{"secApproved":"29 April 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1200380.7524752475,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":130176804,"discretionary":130176804,"discretionaryAccounts":234,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":61,"regulatoryAum":22196166},{"label":"High-net-worth individuals","clients":40,"regulatoryAum":99042290},{"label":"Pension and profit-sharing plans","clients":2,"fewerThan5":true,"regulatoryAum":6123214},{"label":"Charitable organizations","clients":2,"fewerThan5":true,"regulatoryAum":1744564},{"label":"Corporations and other businesses","clients":2,"fewerThan5":true,"regulatoryAum":1070570}],"feePrograms":[{"role":"main","program":"Investment Supervisory Services","feeBasis":"marginal","fee_tiers":[{"to":250000,"pct":1.4,"from":0},{"to":500000,"pct":1,"from":250000},{"to":null,"pct":0.8,"from":500000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018274","versionId":1018274,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-12","documentName":"WALSKY INVESTMENT MANAGEMENT - 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They include 61 individual clients, 40 high-net-worth individuals, and 2 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Walsky Investment Management offer?","answer":"Walsky Investment Management provides portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and publishing newsletters.","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 Walsky Investment Management charge?","answer":"Walsky Investment Management charges 0.80%–1.40% a year for its Investment Supervisory Services. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and requires an account of at least $250,000.","source":"WALSKY INVESTMENT MANAGEMENT - FORM ADV PART 2A, filed 12 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Walsky Investment Management use?","answer":"Walsky Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $130M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Walsky Investment Management have?","answer":"Walsky Investment Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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 Walsky Investment Management invest in?","answer":"At the end of its last fiscal year, Walsky Investment Management’s separately managed accounts held 77% exchange-traded equities, 22% cash and equivalents and 1% 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":"Does Walsky Investment Management have a minimum investment?","answer":"Yes, Walsky Investment Management’s minimum account size for its Investment Supervisory Services is $250K.","source":"WALSKY INVESTMENT MANAGEMENT - FORM ADV PART 2A, filed 12 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Walsky Investment Management?","answer":"Walsky Investment Management’s direct owner is Craig Hafer (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Walsky Investment Management get paid?","answer":"Walsky Investment Management is paid through a percentage of assets under management. 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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."}