{"url":"https://nivawealth.com/firms/warm-springs-advisors-306501","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/306501","regulatoryAum":131346508,"crd":"306501","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1225766","suffix":null,"lastName":"CORNELL","firstName":"NATHANIEL","middleName":"THOMAS"},{"crd":"1757365","suffix":null,"lastName":"RICE","firstName":"PHILIP","middleName":"ROESING"}],"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"},"secFileNumber":"801-134774","legalName":"Warm Springs Advisors Inc.","displayName":"Warm Springs Advisors","slug":"warm-springs-advisors-306501","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"80 E. 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They include 15 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 13 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Warm Springs Advisors offer?","answer":"Warm Springs Advisors 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 Warm Springs Advisors charge?","answer":"Warm Springs Advisors charges 0.90%–1.00% a year for its Asset Management Services. The fee is billed in arrears and is negotiable.","source":"WARM SPRINGS ADVISORS ADV PART 2A AND 2B, filed 13 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Warm Springs Advisors use?","answer":"Warm Springs Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $131M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Warm Springs Advisors have?","answer":"Warm Springs Advisors has 1 investment adviser representative registered with state securities authorities, out of 3 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 Warm Springs Advisors invest in?","answer":"At the end of its last fiscal year, Warm Springs Advisors’ separately managed accounts held 90% exchange-traded equities, 8% registered funds (mutual funds, ETFs, BDCs) and 2% cash and equivalents.","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 Warm Springs Advisors?","answer":"Warm Springs Advisors’ direct owner is Philip Rice (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 13 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Warm Springs Advisors get paid?","answer":"Warm Springs Advisors 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":"Is Warm Springs Advisors registered with the SEC?","answer":"Yes, Warm Springs Advisors has been registered with the SEC as an investment adviser since 25 November 2025. Its CRD number is 306501 and its SEC file number is 801-134774.","source":"Form ADV Part 1A, Item 1, filed 13 February 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Warm Springs Advisors?","answer":"Warm Springs Advisors’ main office is at 80 E. Sir Francis Drake BLVD. Suite 4d, Larkspur, CA 94939. 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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."}