{
  "crd_number": 288450,
  "slug": "aria-wealth-management-saratoga-ca-288450",
  "primary_business_name": "ARIA WEALTH MANAGEMENT",
  "legal_name": "ARIA WEALTH MANAGEMENT, INC.",
  "dbas": [
    "FORTRESS RETIREMENT GROUP",
    "SAGE WEALTH MANAGEMENT"
  ],
  "city": "Saratoga",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "41940",
  "metro": {
    "cbsa_code": "41940",
    "common_name": "San Jose",
    "msa_name": "San Jose-Sunnyvale-Santa Clara, CA",
    "path": "/advisors/ca/san-jose"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2017-07-05",
  "years_registered": 9,
  "period": "2026-10-01",
  "filing_date": "2026-04-01",
  "carried_forward": false,
  "raum_total": 129968474.0,
  "raum_discretionary": 121620617.0,
  "raum_non_discretionary": 8347857.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 9,
  "advisory_employees": 6,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 881390.0,
      "count": 2,
      "description": "EQUITY INSTITUTION",
      "fewer_than_5": true
    },
    "charitable": {
      "raum": 3835645.0,
      "count": 2,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 40191633.0,
      "count": 190
    },
    "state_municipal": {
      "raum": 18305372.0,
      "count": 15
    },
    "pension_profit_sharing": {
      "raum": 7466467.0,
      "count": 12
    },
    "high_net_worth_individuals": {
      "raum": 59287967.0,
      "count": 28
    }
  },
  "compensation_types": [
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AL",
    "AR",
    "CA",
    "FL",
    "GA",
    "TX"
  ],
  "websites": [
    "https://aria401k.com",
    "https://ariawealth.com",
    "https://ariawm.com",
    "https://facebook.com/ARIAWMFRIENDS",
    "https://linkedin.com/company/17916243/admin"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/288450",
  "city_as_filed": "SARATOGA",
  "url": "https://advisorcensus.com/firm/aria-wealth-management-saratoga-ca-288450",
  "display_name": "Aria Wealth Management",
  "summary": "Aria Wealth Management is an SEC-registered investment advisory firm in Saratoga, CA, registered since 2017, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 1, 2026.",
  "citation": "AdvisorCensus. Aria Wealth Management (CRD 288450): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Aria Wealth Management compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Aria Wealth Management reports these compensation arrangements: a percentage of assets under its management; hourly charges."
    },
    {
      "q": "What does Aria Wealth Management's brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated April 1, 2026 states: Asset-based fee: up to 2% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Aria Wealth Management located?",
      "a": "Aria Wealth Management's principal office is in Saratoga, CA, according to its Form ADV; the May 2026 filing also lists 3 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Aria Wealth Management registered with the SEC or a state?",
      "a": "Aria Wealth Management is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 288450."
    },
    {
      "q": "How much does Aria Wealth Management manage?",
      "a": "Aria Wealth Management reports $129,968,474 in regulatory assets under management in its Form ADV filing dated April 1, 2026 (94% discretionary)."
    },
    {
      "q": "How have Aria Wealth Management's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Aria Wealth Management: Regulatory assets under management: $173,262,079 in the October 2021 data and $129,968,474 in the October 2026 data, down 25%. Total employees: 10 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Aria Wealth Management serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (190); high net worth individuals (28); state or municipal government entities (including government pension plans) (15)."
    },
    {
      "q": "Does Aria Wealth Management report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/288450"
    },
    {
      "q": "Does Aria Wealth Management state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated April 1, 2026 says: \"There is no minimum account size.\""
    },
    {
      "q": "What changed in Aria Wealth Management's recent Form ADV filings?",
      "a": "In the May 2026 filing data: Employees performing advisory functions went from 8 to 6. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 173262079.0,
      "total_employees": 10,
      "filing_date": "2021-04-09"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 195858752.0,
      "total_employees": 10,
      "filing_date": "2022-03-29"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 173024394.0,
      "total_employees": 10,
      "filing_date": "2023-04-10"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 194326307.0,
      "total_employees": 10,
      "filing_date": "2024-03-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 122757930.0,
      "total_employees": 10,
      "filing_date": "2025-04-15"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 129968474.0,
      "total_employees": 9,
      "filing_date": "2026-04-01"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Employees performing advisory functions went from 8 to 6.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated April 1, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": "2% of assets a year",
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: up to 2% of assets a year (the maximum the brochure states)"
        ],
        "quotes": [
          "The annual fee rate may be negotiated by the IAR, at the sole discretion of the IAR. The maximum fees are listed in the Schedule A example below.",
          "SCHEDULE A ASSET MANAGEMENT FEE OPTION Maximum Account Fee 2.00%"
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "There is no minimum account size."
        ]
      }
    ],
    "quotes": [
      "The annual fee rate may be negotiated by the IAR, at the sole discretion of the IAR. The maximum fees are listed in the Schedule A example below.",
      "SCHEDULE A ASSET MANAGEMENT FEE OPTION Maximum Account Fee 2.00%",
      "There is no minimum account size."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/aria-wealth-management-saratoga-ca-288450.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 190,
      "fewer_than_5": false,
      "raum": 40191633.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 28,
      "fewer_than_5": false,
      "raum": 59287967.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 12,
      "fewer_than_5": false,
      "raum": 7466467.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 2,
      "fewer_than_5": true,
      "raum": 3835645.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 15,
      "fewer_than_5": false,
      "raum": 18305372.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 2,
      "fewer_than_5": true,
      "raum": 881390.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "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/288450",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}