{ "crd_number": 336637, "slug": "spiegelman-wealth-management-inc-walnut-creek-ca-336637", "primary_business_name": "SPIEGELMAN WEALTH MANAGEMENT, INC.", "legal_name": "SPIEGELMAN WEALTH MANAGEMENT, INC.", "dbas": [], "city": "Walnut Creek", "state": "CA", "country": "United States", "cbsa_code": "41860", "metro": { "cbsa_code": "41860", "common_name": "San Francisco", "msa_name": "San Francisco-Oakland-Fremont, CA", "path": "/advisors/ca/san-francisco" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2025-06-26", "years_registered": 1, "period": "2026-10-01", "filing_date": "2026-06-22", "carried_forward": false, "raum_total": 442974405.0, "raum_discretionary": 442974405.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 4, "advisory_employees": 3, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 29929109.0, "count": 86 }, "high_net_worth_individuals": { "raum": 413045296.0, "count": 97 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals" ], "wrap_fee_participant": true, "disclosure_yes_count": 0, "states_registered": [ "CA" ], "websites": [ "https://spiegelmanwealth.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/336637", "city_as_filed": "WALNUT CREEK", "url": "https://advisorcensus.com/firm/spiegelman-wealth-management-inc-walnut-creek-ca-336637", "display_name": "Spiegelman Wealth Management, Inc.", "summary": "Spiegelman Wealth Management, Inc. is an SEC-registered investment advisory firm in Walnut Creek, CA, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 22, 2026.", "citation": "AdvisorCensus. Spiegelman Wealth Management, Inc. (CRD 336637): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Spiegelman Wealth Management, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Spiegelman Wealth Management, Inc. reports these compensation arrangements: a percentage of assets under its management." }, { "q": "Where is Spiegelman Wealth Management, Inc. located?", "a": "Spiegelman Wealth Management, Inc.'s principal office is in Walnut Creek, CA, according to its Form ADV." }, { "q": "Is Spiegelman Wealth Management, Inc. registered with the SEC or a state?", "a": "Spiegelman Wealth Management, Inc. is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 336637." }, { "q": "How much does Spiegelman Wealth Management, Inc. manage?", "a": "Spiegelman Wealth Management, Inc. reports $442,974,405 in regulatory assets under management in its Form ADV filing dated June 22, 2026 (100% discretionary)." }, { "q": "How have Spiegelman Wealth Management, Inc.'s assets and staff changed since 2025?", "a": "In the Form ADV data for Spiegelman Wealth Management, Inc.: Regulatory assets under management: $0 in the October 2025 data and $442,974,405 in the October 2026 data. Total employees: 1 in October 2025 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Spiegelman Wealth Management, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (97); individuals (other than high net worth individuals) (86)." }, { "q": "Which custodians does Spiegelman Wealth Management, Inc. use?", "a": "Spiegelman Wealth Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Spiegelman Wealth Management, Inc. 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/336637" }, { "q": "Does Spiegelman Wealth Management, Inc. state an account minimum?", "a": "Its Form ADV Part 2A brochure dated June 22, 2026 says: \"SWM does not currently require a minimum account size to receive our services.\"" }, { "q": "What changed in Spiegelman Wealth Management, Inc.'s recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 1 to 3." } ], "filing_history": [ { "period": "2025-10-01", "regulatory_assets_under_management": 0.0, "total_employees": 1, "filing_date": "2025-06-23" }, { "period": "2026-10-01", "regulatory_assets_under_management": 442974405.0, "total_employees": 4, "filing_date": "2026-06-22" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 1 to 3." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Changed its legal name from Spiegelman Wealth Management LLC to Spiegelman Wealth Management, Inc..", "Regulatory assets under management went from $0 to $431,869,941." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated June 22, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "SWM does not currently require a minimum account size to receive our services." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 0.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "SWM does not currently require a minimum account size to receive our services." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "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/spiegelman-wealth-management-inc-walnut-creek-ca-336637.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 86, "fewer_than_5": false, "raum": 29929109.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 97, "fewer_than_5": false, "raum": 413045296.0 } ], "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/336637", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }