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RAI WEALTH MANAGEMENT

PLACENTIA, CA · CRD 277137 · IAPD ↗ · (714) 449-9696

$159.7MRegulatory AUM
4Advisory reps
5Employees
3Clients
51-100Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

50
May 2026 — RAI WEALTH MANAGEMENT added office(s): 0 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
58
May 2026 — RAI WEALTH MANAGEMENT reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
42
December 2025 — RAI WEALTH MANAGEMENT notice-filed in AZ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
60
April 2025 — RAI WEALTH MANAGEMENT reported RAUM up 26% ($107.7M -> $135.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
61
April 2025 — RAI WEALTH MANAGEMENT reports 26-50 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
95
March 2025 — RAI WEALTH MANAGEMENT (PLACENTIA, CA) is newly SEC-registered with $107.7M RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.