# Borris NII & Company

> Borris NII & Company is a state-registered investment advisory firm in Beverly Hills, CA, registered since 2018, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 104709
- Filed as: BORRIS NII & COMPANY
- Legal name: Howard M. Borris & Company, Inc.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Beverly Hills, CA
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/104709
- AdvisorCensus page: https://advisorcensus.com/firm/borris-nii-and-company-beverly-hills-ca-104709

## Quick answers

**How is Borris NII & Company compensated?**
On its Form ADV (Item 5.E, October 2026), Borris NII & Company reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); commissions; other.

**Where is Borris NII & Company located?**
Borris NII & Company's principal office is in Beverly Hills, CA, according to its Form ADV.

**Is Borris NII & Company registered with the SEC or a state?**
Borris NII & Company is a state-registered investment advisory firm, registered since 2018. Status as filed: APPROVED. CRD 104709.

**How much does Borris NII & Company manage?**
Borris NII & Company reports $40,715,918 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (48% discretionary).

**What types of clients does Borris NII & Company serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (31).

**Does Borris NII & Company report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation) and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/104709

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Other

### Regulatory assets under management (Item 5.F)
- Total: $40,715,918
- Discretionary: $19,543,676
- Non-discretionary: $21,172,242

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 31 | $40,715,918 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Other

### Firm details
- Registered since: 2018 (8 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/104709

### Websites listed on Form ADV (Item 1.I)
- bnvco.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Borris NII & Company (CRD 104709): Form ADV filing data as of October 2026.