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ARIA WEALTH MANAGEMENT
Legal name: ARIA WEALTH MANAGEMENT, INC.
CRD 288450File 801-110703
APPROVED
Retail clients
Custody
Filing as of Apr 1, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$130.0M
Bottom 25% of cohort (national)
Discretionary AUM
$121.6M
Non-discretionary $8.3M
Clients
247
570 accounts
Employees
9
Bottom 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Jul 5, 2017
- Principal office
- 20640 3RD STEET, SUITE 300, SARATOGA, CA, 95070
- Phone
- 669-222-1155
- Website
- HTTPS://www.ariawm.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $130.0M
- Discretionary AUM
- $121.6M
- Non-discretionary AUM
- $8.3M
- Discretionary accounts
- 556
- Non-discretionary accounts
- 14
- Total accounts
- 570
- AUM per client
- $526K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $3.8M |
| High net worth individuals | 28 | $59.3M |
| Pension and profit sharing plans | 12 | $7.5M |
| State or municipal government entities | 15 | $18.3M |
| Individuals (other than high net worth individuals) | 190 | $40.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 249 | 247 | decreased by2 |
| May 1, 2026 | Employees | 10 | 9 | decreased by1 |
| May 1, 2026 | Clients | 255 | 249 | decreased by6 |
| May 1, 2026 | AUM | $122,757,930 | $129,968,474 | increased by$7,210,544 |
| May 1, 2026 | Accounts | 616 | 570 | decreased by46 |
| May 1, 2025 vs Oct 1, 2022 | Disclosures | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 358 | 255 | decreased by103 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $195,858,752 | $122,757,930 | decreased by$73,100,822 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 602 | 616 | increased by14 |
| Apr 1, 2022 | Clients | 330 | 358 | increased by28 |
| Apr 1, 2022 | AUM | $173,262,079 | $195,858,752 | increased by$22,596,673 |
| Apr 1, 2022 | Accounts | 582 | 602 | increased by20 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ARIA WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ARIA WEALTH” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.