{"url":"https://nivawealth.com/firms/woodward-financial-advisors-150641","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/150641","regulatoryAum":641480000,"crd":"150641","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7503986","suffix":null,"lastName":"Cole","firstName":"Taylor","middleName":"Renee"},{"crd":"6592031","suffix":null,"lastName":"Colella","firstName":"Victor","middleName":"Louis"},{"crd":"8199449","suffix":null,"lastName":"Cubbin","firstName":"Courtney","middleName":"Dorothy"},{"crd":"2859074","suffix":"JR","lastName":"MILLER","firstName":"JAMES","middleName":"RONALD"},{"crd":"3075106","suffix":null,"lastName":"NEAL","firstName":"LAURA","middleName":"ANNE"},{"crd":"6215239","suffix":null,"lastName":"Richani","firstName":"Alexander","middleName":"Munib"}],"total":6,"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":470928308,"clients":180,"employees":8,"offices":1},{"filedOn":"2022-04-01","regulatoryAum":511250999,"clients":180,"employees":11,"offices":1},{"filedOn":"2023-03-29","regulatoryAum":455320900,"clients":179,"employees":6,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":511205897,"clients":185,"employees":6,"offices":1},{"filedOn":"2025-05-22","regulatoryAum":574323013,"clients":196,"employees":11,"offices":1},{"filedOn":"2026-04-30","regulatoryAum":641480000,"clients":203,"employees":10,"offices":1}],"secFileNumber":"801-70279","legalName":"Woodward 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custody of client assets.","leadership":[{"name":"James Miller","title":"President/Chief Compliance Officer","crd":"2859074"}],"ownership":[{"label":"James Miller","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since May 2009."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":1,"addresses":[{"street":"101 Glen Lennox Drive, Suite 110","city":"Chapel Hill","headquarters":true}]}],"brochureServices":["education planning","insurance","philanthropic planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"919-929-2495","stateRegisteredReps":6,"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 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clients does Woodward Financial Advisors have?","answer":"Woodward Financial Advisors has 203 clients and manages $641 million for them, as of April 2026. They include 197 high-net-worth individuals and 6 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Woodward Financial Advisors offer?","answer":"Woodward Financial Advisors provides financial planning, portfolio management for individuals and small businesses, educational seminars, education planning, insurance, and philanthropic planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Woodward Financial Advisors charge?","answer":"Woodward Financial Advisors charges 0.25%–1.00% a year for its Wealth Management Services. The fee is billed in advance and has a $10,000 annual minimum.","source":"ADV PART 2, filed 30 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Woodward Financial Advisors use?","answer":"Woodward Financial Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $612M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Woodward Financial Advisors have?","answer":"Woodward Financial Advisors has 6 investment adviser representatives registered with state securities authorities, out of 10 employees, and 7 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 Woodward Financial Advisors invest in?","answer":"At the end of its last fiscal year, Woodward Financial Advisors’ separately managed accounts held 95% registered funds (mutual funds, ETFs, BDCs), 2% U.S. government and agency bonds, 1% investment grade corporate bonds, 1% pooled vehicles (private funds and similar) and 1% 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 Woodward Financial Advisors?","answer":"Woodward Financial Advisors’ direct owner is James Miller (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Woodward Financial Advisors get paid?","answer":"Woodward Financial Advisors 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 Woodward Financial Advisors registered with the SEC?","answer":"Yes, Woodward Financial Advisors has been registered with the SEC as an investment adviser since 8 June 2009. Its CRD number is 150641 and its SEC file number is 801-70279.","source":"Form ADV Part 1A, Item 1, filed 30 April 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Woodward Financial Advisors?","answer":"Woodward Financial Advisors’ main office is at 101 Glen Lennox Drive, Suite 110, Chapel Hill, NC 27517. Its phone number is 919-929-2495. 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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."}