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PIEDMONT WEALTH ADVISORY

RESTON, VA · CRD 333693 · IAPD ↗ · piedmontwealthadvisory.com · (571) 313-5125

$353.7MRegulatory AUM
3Advisory reps
3Employees
5Clients
101-250Planning clients
0Private funds
11States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

49
October 2026 — PIEDMONT WEALTH ADVISORY notice-filed in NH, OH, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
February 2026 — PIEDMONT WEALTH ADVISORY 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
64
February 2026 — PIEDMONT WEALTH ADVISORY reported RAUM up 32% ($267.8M -> $353.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
68
March 2025 — PIEDMONT WEALTH ADVISORY now reports custody of client assets ($100,000).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
March 2025 — PIEDMONT WEALTH ADVISORY 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
73
March 2025 — PIEDMONT WEALTH ADVISORY's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
50
January 2025 — PIEDMONT WEALTH ADVISORY notice-filed in CA, FL, MA, MD, NY, PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
December 2024 — PIEDMONT WEALTH ADVISORY (RESTON, VA) is newly SEC-registered (provisional 120-day approval) with $0 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.