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AUA PRIVATE WEALTH ADVISORS, LLC

WEST CONSHOHOCKEN, PA · CRD 323621 · IAPD ↗ · (484) 965-0991

$98.2MRegulatory AUM
3Advisory reps
8Employees
0Clients
0Planning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
January 2025 — AUA PRIVATE WEALTH ADVISORS, LLC (WEST CONSHOHOCKEN, PA) left the SEC roster (was $98.2M RAUM, 3 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
65
March 2024 — AUA PRIVATE WEALTH ADVISORS, LLC now reports custody of client assets ($47.5M).
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.