{ "crd_number": 172715, "slug": "abendstern-wealth-management-inc-shenandoah-tx-172715", "primary_business_name": "ABENDSTERN WEALTH MANAGEMENT, INC.", "legal_name": "ABENDSTERN WEALTH MANAGEMENT, INC.", "dbas": [], "city": "Shenandoah", "state": "TX", "country": "United States", "cbsa_code": "26420", "metro": { "cbsa_code": "26420", "common_name": "Houston", "msa_name": "Houston-Pasadena-The Woodlands, TX", "path": "/advisors/tx/houston" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2015-09-15", "years_registered": 11, "period": "2026-10-01", "filing_date": "2026-04-06", "carried_forward": false, "raum_total": 0.0, "raum_discretionary": 0.0, "raum_non_discretionary": 0.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 5, "advisory_employees": 4, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_individuals" ], "wrap_fee_participant": true, "disclosure_yes_count": 8, "states_registered": [ "FL", "TX" ], "websites": [ "https://abendsternwm.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/172715", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(3)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(3)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" }, { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" }, { "item": "11.H(1)(b)", "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?" } ], "city_as_filed": "SHENANDOAH", "url": "https://advisorcensus.com/firm/abendstern-wealth-management-inc-shenandoah-tx-172715", "display_name": "Abendstern Wealth Management, Inc.", "summary": "Abendstern Wealth Management, Inc. is a state-registered investment advisory firm in Shenandoah, TX, registered since 2015, reporting under $25 million in regulatory assets under management in its Form ADV filing dated April 6, 2026.", "citation": "AdvisorCensus. Abendstern Wealth Management, Inc. (CRD 172715): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Abendstern Wealth Management, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Abendstern Wealth Management, Inc. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Abendstern Wealth Management, Inc. located?", "a": "Abendstern Wealth Management, Inc.'s principal office is in Shenandoah, TX, according to its Form ADV." }, { "q": "Is Abendstern Wealth Management, Inc. registered with the SEC or a state?", "a": "Abendstern Wealth Management, Inc. is a state-registered investment advisory firm, registered since 2015. Status as filed: APPROVED. CRD 172715." }, { "q": "How much does Abendstern Wealth Management, Inc. manage?", "a": "Abendstern Wealth Management, Inc. reports $0 in regulatory assets under management in its Form ADV filing dated April 6, 2026." }, { "q": "Does Abendstern Wealth Management, Inc. report any disciplinary disclosures?", "a": "Reports 8 disclosure items on Form ADV Item 11: yes answers to 7 questions about regulatory matters and 1 question about civil court matters (11.C(2), 11.C(3), 11.C(4), 11.C(5), 11.D(2), 11.D(3), 11.D(5), 11.H(1)(b)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/172715" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/abendstern-wealth-management-inc-shenandoah-tx-172715.md", "clients": [], "disclosure_line": "Reports 8 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/172715", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }