SEC-registered independent wealth management RIA
Nova Financial Services
As of its Form ADV filed March 29, 2026, Nova Financial Services, an SEC-registered independent wealth management RIA in Tucson, Arizona, reported $469.4 million in regulatory assets under management across 1,388 accounts, ranking #38 among independent RIAs in Arizona by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 150148
- SEC file number
- 801-79612
- Registered since
- April 25, 2014
- Latest Form ADV filing
- March 29, 2026
- Legal name
- NOVA FINANCIAL LLC
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $469.4 million
- Discretionary
- $468.9 million (99.9%)
- Non-discretionary
- $545,687
- Accounts
- 1,388 (1,384 discretionary)
- Clients
- 738, approximate as reported
- Employees
- 10
- Advisory staff
- 7 performing investment advisory functions
- Average account
- $338,217
- Asset growth, 1 year
- 20.0% (from $391.2 million a year earlier)
- Asset growth, 3-year annual rate
- 17.4% (from $290.3 million three years earlier)
- Asset growth, 5-year annual rate
- 13.2% (from $252.7 million five years earlier)
- Client growth, 1 year
- 0.1% (from 737)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In Arizona | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #2,718 | #38 | $469.4 million |
| Fastest-growing independent RIAs over one year | #2,372 | #57 | 20.0%from $391.2 million |
| Fastest-growing independent RIAs over three years | #2,244 | #51 | 17.4%from $290.3 million |
| Fastest-growing independent RIAs over five years | #1,606 | #31 | 13.2%from $252.7 million |
| Independent RIAs with the biggest asset gains over one year | #2,506 | #38 | $78.2 million |
| Independent RIAs with the most clients | #1,416 | #34 | 738 |
| Independent RIAs with the fastest client growth over one year | #4,057 | #88 | 0.1%from 737 |
| Independent RIAs with the most accounts | #1,817 | #38 | 1,388 |
| Independent RIAs with the most advisory staff | #1,737 | #41 | 7 |
| Independent RIAs with the most high net worth clients | #2,175 | #46 | 144 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2014 | $109.5 million |
| October 1, 2015 | $128.9 million |
| October 3, 2016 | $122.9 million |
| October 2, 2017 | $129.1 million |
| October 1, 2018 | $210.4 million |
| October 1, 2019 | $212.3 million |
| October 1, 2020 | $220.2 million |
| October 4, 2021 | $252.7 million |
| October 3, 2022 | $308.5 million |
| October 5, 2023 | $290.3 million |
| October 1, 2024 | $342.5 million |
| September 2, 2025 | $391.2 million |
| October 2, 2026 | $469.4 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 144 clients | $276.8 million | |
| Individuals (other than high net worth) 594 clients | $192.6 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
- Selection of other advisers
- Educational seminars or workshops
Financial planning clients (Item 5.H): 1-10.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Banking or thrift institution
- Accountant or accounting firm
- Insurance company or agency
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 9
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 7
Between 2 and 4 of the firm's 9 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Arizona
| Firm | City | RAUM |
|---|---|---|
| Pinnacle Peak Private Client Group, LLC | Scottsdale | $481.1 million |
| Eaton-Cambridge Inc. | Phoenix | $480.7 million |
| Juncture Wealth Strategies, LLC | Scottsdale | $473.6 million |
| Dew Wealth Management | Scottsdale | $464.7 million |
| Harmony Asset Management LLC | Scottsdale | $462.5 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Nova Financial Services on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.yourfuturebynova.com
- Independent RIAs in Arizona
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.