{"url":"https://nivawealth.com/firms/wimmer-associates-i-125243","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/125243","regulatoryAum":475945000,"crd":"125243","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2053433","suffix":null,"lastName":"WIMMER","firstName":"KATHERINE","middleName":"JONES"}],"total":1,"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":"2021-04-01","regulatoryAum":369264000,"clients":160,"employees":4,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":404174000,"clients":138,"employees":4,"offices":1},{"filedOn":"2023-03-23","regulatoryAum":358753228,"clients":158,"employees":3,"offices":1},{"filedOn":"2024-03-19","regulatoryAum":392159000,"clients":140,"employees":4,"offices":1},{"filedOn":"2025-04-15","regulatoryAum":441066000,"clients":143,"employees":4,"offices":1},{"filedOn":"2026-04-27","regulatoryAum":475945000,"clients":143,"employees":4,"offices":1}],"secFileNumber":"801-62730","legalName":"Wimmer Associates I, LLC","displayName":"Wimmer Associates I","slug":"wimmer-associates-i-125243","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2003","organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"155 North Lake Avenue, Suite 440","city":"Pasadena","state":"CA","stateName":"California","country":"United States","postalCode":"91101-1848"},"tradeNames":["Wimmer Associates"],"registration":{"secApproved":"22 January 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monitoring, performance reporting or advice.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042960","versionId":1042960,"submittedOn":"2026-04-27","documentName":"ADV MARCH 2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T08:52:07.498508+00:00","documents":[{"name":"ADV MARCH 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042960","versionId":1042960,"submittedOn":"2026-04-27"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=974872","versionId":974872,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":215096913},{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":45746384}],"custodyNote":"Wimmer Associates I does not have custody of client assets.","leadership":[{"name":"Kathryn Kenney","title":"Vice President, Chief Compliance Officer","crd":"1173519"},{"name":"Katherine Wimmer","title":"President","crd":"2053433"},{"name":"Warren Wimmer","title":"Member","crd":"4630185"}],"ownership":[{"label":"Warren Wimmer","detail":"Member in the 25% to 50% ownership band and a control person, since January 2003."},{"label":"Katherine Wimmer","detail":"President in the 50% to 75% ownership band and a control person, since January 2003."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"155 North Lake Avenue, Suite 440","city":"Pasadena","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"626-683-3150","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Publication of periodicals or newsletters"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":52},{"label":"U.S. government/agency bonds","percent":15},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":11},{"label":"Securities issued by registered investment companies or business development companies","percent":13},{"label":"Cash and cash equivalents","percent":8}],"privateFunds":0},"sources":{"adv1FilingDate":"27 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/125243/PDF/125243.pdf","brochureDate":"27 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042960","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 Wimmer Associates I have?","answer":"Wimmer Associates I has 143 clients and manages $476 million for them, as of April 2026. They include 112 high-net-worth individuals and 31 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wimmer Associates I offer?","answer":"Wimmer Associates I provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, 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":"Which custodians does Wimmer Associates I use?","answer":"Wimmer Associates I’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $215M and National Financial Services LLC (Boston, MA), with $45.7M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wimmer Associates I have?","answer":"Wimmer Associates I has 0 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 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 Wimmer Associates I invest in?","answer":"At the end of its last fiscal year, Wimmer Associates I’s separately managed accounts held 52% exchange-traded equities, 15% U.S. government and agency bonds, 13% registered funds (mutual funds, ETFs, BDCs), 11% investment grade corporate bonds, 8% 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 Wimmer Associates I?","answer":"Wimmer Associates I’s direct owners are Warren Wimmer (25% to 50%) and Katherine Wimmer (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 27 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wimmer Associates I get paid?","answer":"Wimmer Associates I is paid through a percentage of assets under management, hourly charges 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":"Is Wimmer Associates I registered with the SEC?","answer":"Yes, Wimmer Associates I has been registered with the SEC as an investment adviser since 22 January 2004. Its CRD number is 125243 and its SEC file number is 801-62730.","source":"Form ADV Part 1A, Item 1, filed 27 April 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Wimmer Associates I?","answer":"Wimmer Associates I’s main office is at 155 North Lake Avenue, Suite 440, Pasadena, CA 91101-1848. Its phone number is 626-683-3150.","source":"Form ADV Part 1A, Item 1.F, filed 27 April 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."}