ADAPTATION FINANCIAL ADVISORS INC.
Adviser information for ADAPTATION FINANCIAL ADVISORS INC. last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,182 | $177.4M |
| Non-Discretionary | 0 | $0 |
| Total | 1,182 | $177.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 633 | $147.8M |
| HNW Individuals | 19 | $29.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 10.2M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ADAPTATION WEALTH MANAGEMENT WRAP FEE PROGRAM | ADAPTATION FINANCIAL ADVISORS INC. |
Identifiers
| SEC RIA File Number | 801-118982 |
|---|---|
| SEC ERA File Number | 801-118982 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 309192 |
| Legal Entity Identifier | None |
Principal Office
700 CEDAR LAKE BLVDOKLAHOMA CITY
OK
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 972-774-0700, Fax: None
Websites
Chief Compliance Officer
MITCH ROBINSON
DIRECTOR OF COMPLIANCE
700 CEDAR LAKE BLVD.
OKLAHOMA CITY
OK
United States
Tel:
405-475-7801
Fax:
405-478-5701
M********@**********M
(Full email address available in API data)
Regulatory Contact
ALAN NIEMANN
CEO
700 CEDAR LAKE BLVD.
OKLAHOMA CITY
OK
United States
Tel:
972-774-0700
Fax:
405-478-5701
A*******@**********M
(Full email address available in API data)
Industry Affiliates
| DIVERSIFIED INSURANCE BROKERAGE ASSOCIATES, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| APN ADAPTATION FINANCIAL HOLDINGS, LLC | Domestic Entity | – | SHAREHOLDER | 02/2020 | > 75% |
| NIEMANN, ALAN, PHILIP | Individual | ALAN NIEMANN TRUST | TRUSTEE | 05/2021 | |
| NIEMANN, ALAN, PHILIP | Individual | – | CEO | 03/2021 | < 5% |
| ALAN NIEMANN TRUST | Domestic Entity | APN ADAPTATION FINANCIAL HOLDINGS, LLC | MEMBER | 05/2021 | > 75% |
| ROBINSON, MITCHELL, KEAN | Individual | – | DIRECTOR OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | 10/2021 | < 5% |
| Eischen, Michael, Paul | Individual | – | SHAREHOLDER | 01/2021 | < 5% |
| KROST, MICHAEL, DAVID | Individual | – | SHAREHOLDER | 01/2021 | 5-10% |
| KBS CAPITAL MANAGEMENT, LLC | Domestic Entity | – | SHAREHOLDER | 01/2021 | 5-10% |
| SWOZ ENTERPRISES, INC. | Domestic Entity | – | SHAREHOLDER | 01/2021 | < 5% |
| Wozniak, Scott | Individual | SWOZ ENTERPRISES, INC. | OWNER | 01/2021 | > 75% |