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Nicholas Pfeiffer

Silver Oak Securities, INC.
19 Years of Experience
Louisville, KY
2 Disclosures
View SEC Summary
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Nicholas Pfeiffer is a registered investment advisor at Silver Oak Securities, INC., based in Louisville, KY, with 19 years of industry experience. Nicholas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 8 more. Their firm serves 8,746 clients with $2.4B in assets under management.

Silver Oak Securities, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
168 advisors
Number of Clients
8,746 clients
Average Client Portfolio
$280K average
Assets Under Management
$2.4B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum advisor fee is 2.0% of assets. Fees are negotiable between you and your financial professional. Accounts also incur a platform fee consisting of $45 annually plus an asset-based fee between 0.05% and 0.25%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

101 South 7th Street, Louisville, KY, 40202

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2011
Denied
Customer Dispute
October 2010
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Nicholas is the treasurer for The Academy of St Andrews, overseeing financial activity and chairing the finance committee, dedicating a few hours per week. He also works as a mortgage broker for Swan Financial, spending a few hours per week helping individuals save money on mortgage rates, and has an ownership stake in Biotap Medical, reviewing financials and dedicating minimal time.

Employment History
Current Registrations
Silver Oak Securities, INC.
June 2025 - Present · 1 yr 4 mos
Previous Registrations
Seacrest Wealth Management, LLC
November 2012 - June 2025 · 12 yrs 7 mos
J.J.B. Hilliard, W.L. Lyons, LLC
September 2008 - October 2012 · 4 yrs 1 mo
UBS Financial Services INC.
April 2007 - October 2008 · 1 yr 6 mos
State Registrations1 state
KY
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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