PRINCIPIA WEALTH ADVISORY, LLC
Adviser information for PRINCIPIA WEALTH ADVISORY, LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 634 | $163.2M |
| Non-Discretionary | 0 | $0 |
| Total | 634 | $163.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 53 | $16.0M |
| HNW Individuals | 77 | $127.5M |
| 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 | <5 | $16.7M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $3.0M |
| 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 | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-127042 |
|---|---|
| SEC ERA File Number | 801-127042 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 152678 |
| Legal Entity Identifier | None |
Principal Office
13355 NOEL RD. STE 1100DALLAS
TX
United States
Monday - Friday, 8:30 TO 5:30PM
Tel: 214-775-0899, Fax: 214-775-0899
Chief Compliance Officer
AJ PLAUTZ
PRESIDENT AND CHIEF COMPLIANCE OFFICER
13355 NOEL RD. STE 1100
DALLAS
TX
United States
Tel:
214-775-0899
Fax:
214-775-0899
A*******@*************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 |
|---|---|---|---|---|---|
| PLAUTZ, AARON, JOSEPH | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 01/2010 | > 75% |
| WINNINGHAM, ANDREW, W | Individual | – | PARTNER AND LEAD ADVISOR | 01/2023 | < 5% |