{"url":"https://nivawealth.com/firms/wealth-management-of-the-bluegrass-289163","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/289163","regulatoryAum":186724518,"crd":"289163","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2270589","suffix":"II","lastName":"GRAY","firstName":"JAMES","middleName":"CARL"},{"crd":"4364298","suffix":null,"lastName":"GRESHAM","firstName":"JASON","middleName":"CHRISTOPHER"}],"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":"2023-03-30","regulatoryAum":117856962,"clients":136,"employees":2,"offices":1},{"filedOn":"2024-04-01","regulatoryAum":142592568,"clients":145,"employees":2,"offices":1},{"filedOn":"2025-03-20","regulatoryAum":167449228,"clients":186,"employees":2,"offices":1},{"filedOn":"2026-03-20","regulatoryAum":186724518,"clients":159,"employees":2,"offices":1}],"secFileNumber":"801-127821","legalName":"Wealth 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Management","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":2000000,"pct":0.9,"from":1000000},{"to":3000000,"pct":0.8,"from":2000000},{"to":4000000,"pct":0.7,"from":3000000},{"to":5000000,"pct":0.6,"from":4000000},{"to":10000000,"pct":0.5,"from":5000000},{"to":20000000,"pct":0.4,"from":10000000},{"to":null,"pct":0.3,"from":20000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022394","versionId":1022394,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-20","documentName":"FORM ADV PART 2A","fee_rate_low":0.3,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:50:39.814177+00:00","documents":[{"name":"FORM ADV PART 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October 2026"},"telephone":"859-420-4838","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":42},{"label":"U.S. government/agency bonds","percent":14},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":31},{"label":"Cash and cash equivalents","percent":12}],"privateFunds":0},"sources":{"adv1FilingDate":"20 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/289163/PDF/289163.pdf","brochureDate":"20 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1022394","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 Wealth Management of the Bluegrass have?","answer":"Wealth Management of the Bluegrass has 159 clients and manages $187 million for them, as of March 2026. They include 82 individual clients, 71 high-net-worth individuals and 6 state or municipal government entities.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wealth Management of the Bluegrass offer?","answer":"Wealth Management of the Bluegrass provides 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 Wealth Management of the Bluegrass charge?","answer":"Wealth Management of the Bluegrass charges 0.30%–1.00% a year for its Asset Management. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"FORM ADV PART 2A, filed 20 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Wealth Management of the Bluegrass use?","answer":"Wealth Management of the Bluegrass’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $187M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wealth Management of the Bluegrass have?","answer":"Wealth Management of the Bluegrass 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 Wealth Management of the Bluegrass invest in?","answer":"At the end of its last fiscal year, Wealth Management of the Bluegrass’ separately managed accounts held 42% exchange-traded equities, 31% registered funds (mutual funds, ETFs, BDCs), 14% U.S. government and agency bonds, 12% 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 Wealth Management of the Bluegrass?","answer":"Wealth Management of the Bluegrass’ direct owner is Jason Gresham (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 20 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wealth Management of the Bluegrass get paid?","answer":"Wealth Management of the Bluegrass is paid through a percentage of assets under management and fixed fees. 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 Wealth Management of the Bluegrass?","answer":"Wealth Management of the Bluegrass’ main office is at 424 Lewis Hargett Circle, Suite 250, Lexington, KY 40503. Its phone number is 859-420-4838.","source":"Form ADV Part 1A, Item 1.F, filed 20 March 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."}