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ARIA WEALTH MANAGEMENT

SARATOGA, CA · CRD 288450 · IAPD ↗ · ariawm.com · 669-222-1155

$130.0MRegulatory AUM
6Advisory reps
9Employees
0Clients
11-25Planning clients
0Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

50
May 2026 — ARIA WEALTH MANAGEMENT shrank from 8 to 6 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
45
April 2025 — ARIA WEALTH MANAGEMENT reported RAUM down 37% ($194.3M -> $122.8M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
58
April 2025 — ARIA WEALTH MANAGEMENT reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
April 2025 — ARIA WEALTH MANAGEMENT now reports custody of client assets ($38.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

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