Nickelplate Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$16,651,699
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
54
7% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
54
HighAverage account size
$308,365
About
Nickelplate Financial LLC provides discretionary portfolio management for individuals and high‑net‑worth clients and also serves employer retirement plans as a 3(21) adviser, offering plan‑level investment menu review and qualified default investment alternative (QDIA) recommendations. The firm operates as a single‑advisor RIA and manages about $17.1 million across roughly 54 client relationships.
The firm documents client goals and risk tolerance in written Investment Policy Statements, applies modern portfolio theory, and implements long‑term asset allocation across mutual funds, ETFs, fixed income, and annuities, typically with discretionary trading authority. For its retirement plan work, Nickelplate prepares a Select List of investment options, conducts quarterly monitoring, and can recommend automatic line‑up changes through the recordkeeper while acknowledging ERISA 3(21) fiduciary responsibilities for those services.
What distinguishes Nickelplate from many independent peers is the formal 3(21) plan‑adviser program and the ability to provide automatic execution support for plan line‑ups—an offering that only a minority of solo independent advisers provide. The brochure also discloses that the firm’s owner has an unrelated business interest and that the firm requires clients to use a particular introducing broker/custodian, facts that may be relevant to custody, execution practices, and potential conflicts of interest.
Client services
Portfolio management
Expertise
Wealth management
Annuities
Fee options
$0 - $500,000: 1.50% $500,001 - $1,500,000: 1.25% $1,500,001+: 1.00%
Main office location
Nickelplate Financial LLC
4429 Fulton Dr Nw, Suite 220
Canton OH 44718, United States
Number of offices
1
Most active in
Nickelplate Financial LLC has reported serving >5 clients in these states in the last 12 months.
Ohio
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.
-
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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