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NN Investment Advisory, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$6,950,000
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
35
46% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
35
TypicalAverage account size
$198,571
About
NN Investment Advisory provides investment advisory and financial planning services to individual clients as well as to employer-sponsored retirement plans and other institutional clients. The firm’s service menu includes asset management, comprehensive portfolio management, standalone financial planning and retirement plan consulting, with explicit offerings such as investment policy statements, investment option reviews, asset allocation and participant education.
Portfolios are tailored using individual stocks, bonds, ETFs, options, mutual funds and other public and private securities, with continuous monitoring and periodic rebalancing and a stated discipline around duration for fixed-income allocations. The firm describes a multi-method approach — including fundamental, technical, quantitative and sector analysis — and notes it may employ strategies ranging from long-term holdings to tactical allocation, with the potential use of margin and options where appropriate.
What is distinctive for a firm of this type and size is its explicit work with institutional clients and pension/retirement-plan consulting, including ERISA-aware services for plan sponsors, a capability that the brochure notes is relatively uncommon among independent advisers. The brochure also highlights a broader consulting scope — for example corporate and personal tax planning, cost segregation studies and corporate-structure advice — and indicates the firm is recently established with a focused client base, which may affect the scale and customization of services offered.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Options & derivatives strategies
Active portfolio management
Fee options
Flat fees for financial planning and consulting up to $10,000; Retirement Plan Consulting flat fees range from $750 to $10,000
Maximum annual fee not to exceed 2.00%, billed monthly in arrears on pro-rata basis
Up to $500 per hour for financial planning and consulting; Retirement Plan Consulting also hourly up to $500
Fee-only: Financial planning and consulting charged on hourly or flat fee basis; hourly up to $500, flat fees up to $10,000
Main office location
NN Investment Advisory, LLC
Santa Barbara CA, United States
Number of offices
1
Most active in
NN Investment Advisory, LLC has reported serving >5 clients in these states in the last 12 months.
California · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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