{ "crd_number": 169687, "slug": "eks-associates-princeton-nj-169687", "primary_business_name": "EKS ASSOCIATES", "legal_name": "DHH ADVISORS, LLC", "dbas": [ "EKS ASSOCIATES" ], "city": "Princeton", "state": "NJ", "country": "United States", "cbsa_code": "45940", "metro": { "cbsa_code": "45940", "common_name": "Trenton", "msa_name": "Trenton-Princeton, NJ", "path": "/advisors/nj/trenton" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2014-08-26", "years_registered": 12, "period": "2026-10-01", "filing_date": "2026-03-25", "carried_forward": false, "raum_total": 324280466.0, "raum_discretionary": 0.0, "raum_non_discretionary": 324280466.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 3, "advisory_employees": 3, "client_count_bucket": null, "clients_by_type": { "high_net_worth_individuals": { "raum": 324280466.0, "count": 48 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "FL", "MA", "NJ", "NY", "PA", "TX" ], "websites": [ "https://eksassociates.com", "https://linkedin.com/company/eks-associates", "https://yelp.com/biz/eks-associates-princeton" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/169687", "city_as_filed": "PRINCETON", "url": "https://advisorcensus.com/firm/eks-associates-princeton-nj-169687", "display_name": "EKS Associates", "summary": "EKS Associates is an SEC-registered investment advisory firm in Princeton, NJ, registered since 2014, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 25, 2026.", "citation": "AdvisorCensus. EKS Associates (CRD 169687): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is EKS Associates compensated?", "a": "On its Form ADV (Item 5.E, October 2026), EKS Associates reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)." }, { "q": "Where is EKS Associates located?", "a": "EKS Associates' principal office is in Princeton, NJ, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is EKS Associates registered with the SEC or a state?", "a": "EKS Associates is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 169687." }, { "q": "How much does EKS Associates manage?", "a": "EKS Associates reports $324,280,466 in regulatory assets under management in its Form ADV filing dated March 25, 2026 (0% discretionary)." }, { "q": "How have EKS Associates' assets and staff changed since 2021?", "a": "In the Form ADV data for EKS Associates: Regulatory assets under management: $218,328,488 in the October 2021 data and $324,280,466 in the October 2026 data, up 49%. Total employees: 5 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does EKS Associates serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (48)." }, { "q": "Which custodians does EKS Associates use?", "a": "EKS Associates' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does EKS Associates report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/169687" }, { "q": "Does EKS Associates state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 25, 2026 says: \"Our investment advisory services do not require a minimum account balance.\" \"While we do not require a minimum portfolio size, we do require all clients to enter into a formal services Agreement that outlines the specific services to be provided.\"" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 218328488.0, "total_employees": 5, "filing_date": "2021-03-26" }, { "period": "2022-10-01", "regulatory_assets_under_management": 234462987.0, "total_employees": 5, "filing_date": "2022-03-30" }, { "period": "2023-10-01", "regulatory_assets_under_management": 278761107.0, "total_employees": 5, "filing_date": "2023-03-29" }, { "period": "2024-10-01", "regulatory_assets_under_management": 254537637.0, "total_employees": 3, "filing_date": "2024-03-27" }, { "period": "2025-10-01", "regulatory_assets_under_management": 300381294.0, "total_employees": 3, "filing_date": "2025-03-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 324280466.0, "total_employees": 3, "filing_date": "2026-03-25" } ], "recent_changes": [], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 25, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "Our investment advisory services do not require a minimum account balance.", "While we do not require a minimum portfolio size, we do require all clients to enter into a formal services Agreement that outlines the specific services to be provided." ] } ], "quotes": [ "Our investment advisory services do not require a minimum account balance.", "While we do not require a minimum portfolio size, we do require all clients to enter into a formal services Agreement that outlines the specific services to be provided." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/eks-associates-princeton-nj-169687.md", "clients": [ { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 48, "fewer_than_5": false, "raum": 324280466.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/169687", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }