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MENDOZA PRIVATE WEALTH

NORTH MIAMI, FL · CRD 329126 · IAPD ↗ · mendozaprivatewealth.com · 305-503-5133

$101.4MRegulatory AUM
1Advisory reps
1Employees
0Clients
11-25Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
September 2026 — MENDOZA PRIVATE WEALTH moved its main office from MIAMI, FL to NORTH MIAMI, FL.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
95
May 2026 — MENDOZA PRIVATE WEALTH (MIAMI, FL) is newly SEC-registered with $101.4M RAUM and 1 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
60
October 2024 — MENDOZA PRIVATE WEALTH (MIAMI, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 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
May 2024 — MENDOZA PRIVATE WEALTH now reports custody of client assets.
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.