Statera Financial, Llc
State-registered
Wealth Manager · Boutique (under $100M)
CRD 304957
· Walpole, MA
· www.linkedin.com
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ADV data as of Feb 11, 2026
- Regulatory AUM
- $62.1M
- Discretionary
- $44.0M
- Clients
- 301
- Avg AUM / client
- $206K
- Accounts
- 304
- Employees
- 3
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 289 | $38.0M | 61.2% |
| High net worth individuals | 12 | $20.9M | 33.7% |
| Pension and profit sharing plans | Fewer than 5 clients | $3.2M | 5.15% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Eric Moses | Registered representative | CFP | Dec 2019 (7y) | |
| David Leonard Wiech | Registered representative | Dec 2019 (7y) | ||
| Joseph Francis Sylvia | Registered representative | Jul 2024 (2y) |
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) | 02/11/2026 | 1.14 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
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Axos Clearing $25.0M (40% of AUM) Feb 2026
- Assetmark Trust Company $23.0M (37% of AUM) Feb 2026
- Fidelity Investments $11.0M (18% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 11, 2026.
View current Form ADV (SEC/IAPD) ↗