Ni Advisors
State-registered
Insurance-Affiliated · Boutique (under $100M)
CRD 134502
· Milpitas, CA
· niadvisorsinc.com
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ADV data as of Mar 03, 2026
- Regulatory AUM
- $3.6M
- Discretionary
- $1.1M
- Clients
- 6
- Avg AUM / client
- $593K
- Accounts
- 7
- Employees
- 16
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 clients | $60.0K | 1.69% |
| High net worth individuals | 6 | $3.5M | 98.3% |
People (15)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Suihock Goy | Registered representative | May 2012 (14y) | ||
| Chun Dok Chris Wong | Registered representative | Feb 2016 (11y) | ||
| Theodore Hendrickus Franse | Registered representative | Aug 2017 (9y) | ||
| Neeraj Bhatia | Registered representative | Nov 2017 (9y) | ||
| John C Shen | Registered representative | Nov 2021 (5y) | ||
| Jarrod Benjamin Silvers | Registered representative | Aug 2023 (3y) | ||
| Jinrong Wang | Registered representative | Jan 2025 (2y) | ||
| Dean Constantine Bruno Anast | Registered representative | Jan 2025 (2y) | ||
| Hongfang Zhang | Registered representative | Jan 2025 (2y) | ||
| Bala Subramanian | Registered representative | Jan 2025 (2y) | ||
| Dennis Brian Noss | Registered representative | Jan 2026 (1y) | ||
| Nancy Yen Chang | Registered representative | Feb 2026 (1y) | ||
| Kimberly Ann Barentsen | Registered representative | Mar 2026 (0y) | ||
| Ted Chen | Registered representative | Apr 2026 (0y) | ||
| Shirley Jamil Coria | Registered representative | Jul 2026 (0y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/03/2026 | 1.26 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • SHARE FEES WITH THIRD PARTY ASSET MANAGERS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 03, 2026.
View current Form ADV (SEC/IAPD) ↗