{"url":"https://nivawealth.com/firms/wea-financial-advisors-144919","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/144919","regulatoryAum":507804171,"crd":"144919","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8050861","suffix":null,"lastName":"Brown","firstName":"Nadia","middleName":"I"},{"crd":"5969791","suffix":null,"lastName":"Edelstein","firstName":"Anna","middleName":"Kayla"},{"crd":"4609529","suffix":null,"lastName":"HARTWIG","firstName":"ANDREA","middleName":"LYNN"},{"crd":"3070555","suffix":null,"lastName":"WHITLOW","firstName":"NKENZA","middleName":"TENA"}],"total":4,"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":"2021-03-31","regulatoryAum":327704153,"clients":360,"employees":5,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":446229963,"clients":587,"employees":3,"offices":1},{"filedOn":"2023-06-26","regulatoryAum":400469937,"clients":666,"employees":3,"offices":1},{"filedOn":"2024-03-25","regulatoryAum":472404489,"clients":587,"employees":3,"offices":1},{"filedOn":"2025-06-25","regulatoryAum":554283162,"clients":620,"employees":4,"offices":1},{"filedOn":"2026-07-06","regulatoryAum":507804171,"clients":618,"employees":4,"offices":1}],"secFileNumber":"801-118359","legalName":"Wea Financial Advisors, Inc.","displayName":"WEA Financial Advisors","slug":"wea-financial-advisors-144919","website":"https://weabenefits.com/","classification":{"segment":"institutions","segmentLabel":"Institutional","type":"retirement_plan_adviser","typeLabel":"Retirement plans","feeDisclosure":"payment_only"},"founded":null,"organization":"Wisconsin corporation","fiscalYearEnd":"December","headquarters":{"street":"660 John Nolen Drive","city":"Madison","state":"WI","stateName":"Wisconsin","country":"United States","postalCode":"53713"},"tradeNames":[],"registration":{"secApproved":"2 April 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":106279.93831168831,"staff":{"employees":4,"advisory":4,"brokerDealerReps":4,"insuranceAgents":4,"promoters":1},"aum":{"regulatory":507804171,"discretionary":507804171,"discretionaryAccounts":616,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":616,"regulatoryAum":65468442},{"label":"Pension and profit-sharing plans","clients":2,"regulatoryAum":442335729}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Matrix Trust Company","shortName":"Matrix Trust","location":"Denver, CO","smaAssets":442335729},{"name":"American Trust Custody","shortName":"American Trust Custody","location":"Pittsburgh, PA","smaAssets":65468442}],"custodyNote":"WEA Financial Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Mary Hoffmann","title":"Chief Financial Officer","crd":"4514215"},{"name":"Boyd Bender","title":"Chief Compliance Officer","crd":"3082505"},{"name":"Karim Habib","title":"CEO","crd":"8307727"},{"name":"Maiwa Lor","title":"Trustee","crd":"7786308"},{"name":"Kathleen Mahoney","title":"Trustee","crd":"8120398"},{"name":"Jesse Martinez","title":"Trustee","crd":"7977660"},{"name":"Peggy Olsen-Wirtz","title":"Trustee","crd":"7641439"},{"name":"Kristina Schiller","title":"Secretary","crd":"7719055"},{"name":"Nathan Ugoretz","title":"Trustee","crd":"7641425"},{"name":"Abie Vang","title":"Trustee","crd":"8298598"},{"name":"Thomas Wilcox","title":"Trustee","crd":"7977638"}],"ownership":[{"label":"Wea Member Benefit Trust","detail":"Parent trust company for wea financial advisors, inc. in the 75% or more ownership band and a control person, since August 2007."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Wisconsin","offices":1,"addresses":[{"street":"660 John Nolen Drive","city":"Madison","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-279-4030","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Other"],"financialPlanningClients":"1000","assetMix":[{"label":"Exchange-traded equity securities","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":61},{"label":"Other","percent":33,"detail":"Group Annuity Contract Through Empower Annuity Insurance Company."}],"privateFunds":0},"sources":{"adv1FilingDate":"6 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/144919/PDF/144919.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does WEA Financial Advisors have?","answer":"WEA Financial Advisors has 618 clients and manages $508 million for them, as of July 2026. They include 616 individuals and 2 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does WEA Financial Advisors offer?","answer":"WEA Financial Advisors provides financial planning, portfolio management for individuals and small businesses, and portfolio management for pooled vehicles.","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 WEA Financial Advisors use?","answer":"WEA Financial Advisors’ separately managed account assets are held at Matrix Trust Company (Denver, CO), with $442M and American Trust Custody (Pittsburgh, PA), with $65.5M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 6 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does WEA Financial Advisors have?","answer":"WEA Financial Advisors has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. 4 employees are registered representatives of a broker-dealer and 4 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 WEA Financial Advisors invest in?","answer":"At the end of its last fiscal year, WEA Financial Advisors’ separately managed accounts held 61% registered funds (mutual funds, ETFs, BDCs), 33% other and 6% exchange-traded equities. The 33% other category is described as: Group Annuity Contract Through Empower Annuity Insurance Company.","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 WEA Financial Advisors?","answer":"WEA Financial Advisors’ direct owner is Wea Member Benefit Trust (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 6 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does WEA Financial Advisors get paid?","answer":"WEA Financial Advisors is paid through a percentage of assets under management and hourly charges. 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 WEA Financial Advisors?","answer":"WEA Financial Advisors’ main office is at 660 John Nolen Drive, Madison, WI 53713. Its phone number is 800-279-4030. Its website is weabenefits.com.","source":"Form ADV Part 1A, Item 1.F, filed 6 July 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."}