{ "crd_number": 325236, "slug": "naviquant-325236", "primary_business_name": "NAVIQUANT", "legal_name": "NAVIQUANT CAPITAL MANAGEMENT LLC", "dbas": [], "city": null, "state": null, "country": null, "cbsa_code": null, "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2023-03-29", "years_registered": 3, "period": "2026-10-01", "filing_date": "2026-06-15", "carried_forward": false, "raum_total": 199340112.0, "raum_discretionary": 199340112.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 20488833.0, "count": 176 }, "pension_profit_sharing": { "raum": 161101608.0, "count": null, "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 17749671.0, "count": 5 } }, "compensation_types": [ "hourly", "percentage_of_aum" ], "advisory_activities": [ "educational_seminars", "financial_planning", "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "OR", "WA" ], "websites": [ "https://linkedin.com/company/naviquant/about", "https://naviquant.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/325236", "city_as_filed": null, "url": "https://advisorcensus.com/firm/naviquant-325236", "display_name": "Naviquant", "summary": "Naviquant is an SEC-registered investment advisory firm, registered since 2023, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 15, 2026.", "citation": "AdvisorCensus. Naviquant (CRD 325236): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services", "Educational seminars/workshops" ], "quick_answers": [ { "q": "How is Naviquant compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Naviquant reports these compensation arrangements: a percentage of assets under its management; hourly charges." }, { "q": "How much does Naviquant charge?", "a": "Its Form ADV Part 2A brochure dated June 15, 2026 states: Hourly rate: $300 an hour (Financial Planning Agreement early termination services). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Is Naviquant registered with the SEC or a state?", "a": "Naviquant is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 325236." }, { "q": "How much does Naviquant manage?", "a": "Naviquant reports $199,340,112 in regulatory assets under management in its Form ADV filing dated June 15, 2026 (100% discretionary)." }, { "q": "How have Naviquant's assets and staff changed since 2023?", "a": "In the Form ADV data for Naviquant: Regulatory assets under management: $116,655,803 in the October 2023 data and $199,340,112 in the October 2026 data, up 71%. Total employees: 2 in October 2023 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Naviquant serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (176); pooled investment vehicles (other than investment companies and business development companies) (5)." }, { "q": "Which custodians does Naviquant use?", "a": "Naviquant's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Axos Clearing LLC, Charles Schwab & Co., Inc., Empower Financial Services, Inc. and Paychex Securities Corporation as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Naviquant 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/325236" }, { "q": "Does Naviquant state an account minimum?", "a": "Its Form ADV Part 2A brochure dated June 15, 2026 says: \"We typically require a minimum investment amount of $500,000 of total investable assets. However, in our sole discretion, we may waive this minimum requirement based on criteria such as anticipated future earning capacity or additional assets, client relationships, or account retention.\"" }, { "q": "What changed in Naviquant's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $173,568,567 to $199,340,112 (+15%)." } ], "filing_history": [ { "period": "2023-10-01", "regulatory_assets_under_management": 116655803.0, "total_employees": 2, "filing_date": "2023-06-05" }, { "period": "2024-10-01", "regulatory_assets_under_management": 161474000.0, "total_employees": 2, "filing_date": "2024-03-18" }, { "period": "2025-10-01", "regulatory_assets_under_management": 173568567.0, "total_employees": 1, "filing_date": "2025-03-30" }, { "period": "2026-10-01", "regulatory_assets_under_management": 199340112.0, "total_employees": 1, "filing_date": "2026-06-15" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $173,568,567 to $199,340,112 (+15%)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated June 15, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$500,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": null, "planning_fees": [ "Hourly rate: $300 an hour (Financial Planning Agreement early termination services)" ], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: $500,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "We typically require a minimum investment amount of $500,000 of total investable assets. However, in our sole discretion, we may waive this minimum requirement based on criteria such as anticipated future earning capacity or additional assets, client relationships, or account retention." ] }, { "label": "Planning fee", "statements": [ "Hourly rate: $300 an hour (Financial Planning Agreement early termination services)" ], "quotes": [ "payment of our services provided prior to termination, based on an hourly rate of $ 300 multiplied by the hours worked prior to termination." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 500000.0, "minimum_annual_fee": null, "planning": [ { "kind": "hourly", "amount": 300.0, "min": null, "max": null, "period": "hour", "service": "Financial Planning Agreement early termination services" } ] }, "quotes": [ "We typically require a minimum investment amount of $500,000 of total investable assets. However, in our sole discretion, we may waive this minimum requirement based on criteria such as anticipated future earning capacity or additional assets, client relationships, or account retention.", "payment of our services provided prior to termination, based on an hourly rate of $ 300 multiplied by the hours worked prior to termination." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Axos Clearing LLC", "name_as_filed": "AXOS CLEARING LLC", "affiliated": false }, { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Empower Financial Services, Inc.", "name_as_filed": "EMPOWER FINANCIAL SERVICES, INC.", "affiliated": false }, { "name": "Paychex Securities Corporation", "name_as_filed": "PAYCHEX SECURITIES CORPORATION", "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/naviquant-325236.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 176, "fewer_than_5": false, "raum": 20488833.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 5, "fewer_than_5": false, "raum": 17749671.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 161101608.0 } ], "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/325236", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }