{ "crd_number": 334754, "slug": "nim-wealth-solutions-san-jose-ca-334754", "primary_business_name": "NIM WEALTH SOLUTIONS", "legal_name": "NIM WEALTH SOLUTIONS INC.", "dbas": [ "NIM INVESTMENT SOLUTIONS", "NIM RETIREMENT GROUP" ], "city": "San Jose", "state": "CA", "country": "United States", "cbsa_code": "41940", "metro": { "cbsa_code": "41940", "common_name": "San Jose", "msa_name": "San Jose-Sunnyvale-Santa Clara, CA", "path": "/advisors/ca/san-jose" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2026-03-20", "years_registered": 0, "period": "2026-10-01", "filing_date": "2026-09-24", "carried_forward": false, "raum_total": 116755871.0, "raum_discretionary": 116755871.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 6, "advisory_employees": 4, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 45005416.0, "count": 65 }, "high_net_worth_individuals": { "raum": 71750455.0, "count": 74 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": true, "disclosure_yes_count": 0, "states_registered": [ "CA", "TX" ], "websites": [ "https://facebook.com/NIMRetirement", "https://linkedin.com/company/nim-retirement-group", "https://nimretirementgroup.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/334754", "city_as_filed": "SAN JOSE", "url": "https://advisorcensus.com/firm/nim-wealth-solutions-san-jose-ca-334754", "display_name": "NIM Wealth Solutions", "summary": "NIM Wealth Solutions is an SEC-registered investment advisory firm in San Jose, CA, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 24, 2026.", "citation": "AdvisorCensus. NIM Wealth Solutions (CRD 334754): 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", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is NIM Wealth Solutions compensated?", "a": "On its Form ADV (Item 5.E, October 2026), NIM Wealth Solutions reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "What does NIM Wealth Solutions' brochure say about its fees?", "a": "Its Form ADV Part 2A brochure dated August 11, 2026 states: Asset-based fee: up to 2% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is NIM Wealth Solutions located?", "a": "NIM Wealth Solutions' principal office is in San Jose, CA, according to its Form ADV." }, { "q": "Is NIM Wealth Solutions registered with the SEC or a state?", "a": "NIM Wealth Solutions is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 334754." }, { "q": "How much does NIM Wealth Solutions manage?", "a": "NIM Wealth Solutions reports $116,755,871 in regulatory assets under management in its Form ADV filing dated September 24, 2026 (100% discretionary)." }, { "q": "What types of clients does NIM Wealth Solutions serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (74); individuals (other than high net worth individuals) (65)." }, { "q": "Which custodians does NIM Wealth Solutions use?", "a": "NIM Wealth Solutions' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does NIM Wealth Solutions 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/334754" }, { "q": "Does NIM Wealth Solutions state an account minimum?", "a": "Its Form ADV Part 2A brochure dated August 11, 2026 says: \"We do not impose a minimum account value to initiate our Firm’s advisory and money management services , however, we will only take on clients that we deem to be a good fit for our services.\"" }, { "q": "What changed in NIM Wealth Solutions' recent Form ADV filings?", "a": "In the October 2026 filing data: Registered or notice-filed in TX." } ], "filing_history": [], "recent_changes": [ { "period": "2026-10-01", "period_label": "October 2026", "notes": [ "Registered or notice-filed in TX." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Newly registered with the SEC." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated August 11, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": "2% of assets a year", "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: up to 2% of assets a year (the maximum the brochure states)" ], "quotes": [ "NIM’s annual fees are based upon a percentage of assets under management not to exceed 2.00%.", "NIM’s annual fees are based upon a percentage of assets under management not to exceed 2.00%. If services commenced in the middle of the billing period, then the prorated fee for that billing period and any fees due to the Firm will be deducted from the Client’s account prior to termination." ] }, { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "We do not impose a minimum account value to initiate our Firm’s advisory and money management services , however, we will only take on clients that we deem to be a good fit for our services." ] } ], "quotes": [ "NIM’s annual fees are based upon a percentage of assets under management not to exceed 2.00%.", "NIM’s annual fees are based upon a percentage of assets under management not to exceed 2.00%. If services commenced in the middle of the billing period, then the prorated fee for that billing period and any fees due to the Firm will be deducted from the Client’s account prior to termination.", "We do not impose a minimum account value to initiate our Firm’s advisory and money management services , however, we will only take on clients that we deem to be a good fit for our services." ], "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 }, { "name": "Fidelity Brokerage Services LLC", "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC", "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/nim-wealth-solutions-san-jose-ca-334754.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 65, "fewer_than_5": false, "raum": 45005416.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 74, "fewer_than_5": false, "raum": 71750455.0 } ], "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/334754", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }