ARIA WEALTH MANAGEMENT
ARIA WEALTH MANAGEMENT, INC. Legal Name
Adviser information for ARIA WEALTH MANAGEMENT last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 635 | $99.1M |
| Non-Discretionary | 14 | $95.3M |
| Total | 649 | $194.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 220 | $18.4M |
| HNW Individuals | 29 | $61.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 11 | $94.9M |
| Charitable organizations | <5 | $1.3M |
| State or municipal gov entities | 18 | $17.4M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | <5 | $402,400 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-110703 |
|---|---|
| SEC ERA File Number | 801-110703 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 288450 |
| Legal Entity Identifier | None |
Principal Office
20640 3RD STEETSUITE 300
SARATOGA
CA
United States
Monday - Friday, 8:00AM - 4:00PM
Tel: 669-222-1155, Fax: 408-200-0370
Chief Compliance Officer
LAWRENCE PIZZELLA
20640 3RD STEET
SUITE 300
SARATOGA
CA
United States
Tel:
669-222-1155
L****************@*********M
(Full email address available in API data)
Regulatory Contact
ELIZABETH LUNA
DIRECTOR
20640 3RD STREET
SUITE 300
SARATOGA
CA
United States
Tel:
669-222-1155
E*************@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ARIA WEALTH LLC | Domestic Entity | – | OWNER | 03/2019 | > 75% |
| PIZZELLA, LAWRENCE, FREDERICK | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2019 | < 5% |