RIA WEALTH ADVISORS, LLC
Adviser information for RIA WEALTH ADVISORS, LLC last updated from Form ADV on March 22nd, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 544 | $110.0M |
| Non-Discretionary | 1 | $17,299 |
| Total | 545 | $110.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 198 | $55.1M |
| HNW Individuals | 26 | $54.9M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| 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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-120371 |
|---|---|
| SEC ERA File Number | 801-120371 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 312072 |
| Legal Entity Identifier | None |
Principal Office
310 WEST MAIN AVENUEROUND ROCK
TX
United States
Monday - Friday, 8 A.M. - 4 P.M.
Tel: (512) 218-7993, Fax: (512) 218-7997
Chief Compliance Officer
CONNIE MACK
MANAGER
11750 KATY FREEWAY, SUITE 840
HOUSTON
TX
United States
Tel:
(281) 501-1791
Fax:
(281) 501-1806
C*****@**************M
(Full email address available in API data)
Industry Affiliates
| ALORA CONSULTING LLC | Insurance company or agency |
| RIA ADVISORS | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MACK, CONNIE, NMN | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2020 | < 5% |
| LEVEE, JOHN, EDWARD | Individual | – | MANAGER | 02/2023 | > 75% |