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ARENA PRIVATE WEALTH

CHICAGO, IL · CRD 332302 · IAPD ↗ · 312-798-9045

$404.7MRegulatory AUM
8Advisory reps
8Employees
1Clients
101-250Planning clients
7Private funds
11States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
October 2026 — ARENA PRIVATE WEALTH notice-filed in NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
October 2026 — ARENA PRIVATE WEALTH added office(s): 7 -> 8 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
August 2026 — ARENA PRIVATE WEALTH notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
August 2026 — ARENA PRIVATE WEALTH added office(s): 6 -> 7 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
51
April 2026 — ARENA PRIVATE WEALTH notice-filed in AZ, IN, MA, NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2026 — ARENA PRIVATE WEALTH added office(s): 5 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
April 2026 — ARENA PRIVATE WEALTH reports 101-250 financial-planning clients, up from 51-100.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
72
April 2026 — ARENA PRIVATE WEALTH grew from 4 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
73
April 2026 — ARENA PRIVATE WEALTH reported RAUM up 143% ($139.1M -> $338.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
73
April 2026 — ARENA PRIVATE WEALTH now reports 7 private fund(s) ($74.6M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
55
February 2026 — OCM PRIVATE WEALTH, LLC is now doing business as ARENA PRIVATE WEALTH.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
42
December 2025 — OCM PRIVATE WEALTH, LLC notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
December 2025 — OCM PRIVATE WEALTH, LLC added office(s): 4 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
42
February 2025 — OCM PRIVATE WEALTH, LLC notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
67
February 2025 — OCM PRIVATE WEALTH, LLC reports 51-100 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
February 2025 — OCM PRIVATE WEALTH, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
70
February 2025 — OCM PRIVATE WEALTH, LLC now reports 1 private fund(s) ($8.0M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
95
October 2024 — OCM PRIVATE WEALTH, LLC (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 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.