# ARK Wealth Management

> ARK Wealth Management is an SEC-registered investment advisory firm in Austin, TX, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 16, 2026.

- CRD: 317264
- Filed as: ARK WEALTH MANAGEMENT
- Legal name: ARK Wealth Management, LLC
- Also doing business as: ARK FINANCIAL
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Austin, TX
- Filing period: October 2026
- Form ADV filing dated: July 16, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/317264
- AdvisorCensus page: https://advisorcensus.com/firm/ark-wealth-management-austin-tx-317264

## Quick answers

**How is ARK Wealth Management compensated?**
On its Form ADV (Item 5.E, October 2026), ARK Wealth Management reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Where is ARK Wealth Management located?**
ARK Wealth Management's principal office is in Austin, TX, according to its Form ADV.

**Is ARK Wealth Management registered with the SEC or a state?**
ARK Wealth Management is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 317264.

**How much does ARK Wealth Management manage?**
ARK Wealth Management reports $216,000,000 in regulatory assets under management in its Form ADV filing dated July 16, 2026 (100% discretionary).

**How have ARK Wealth Management's assets and staff changed since 2022?**
In the Form ADV data for ARK Wealth Management: Regulatory assets under management: $107,000,000 in the October 2022 data and $216,000,000 in the October 2026 data, up 102%. Total employees: 4 in October 2022 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does ARK Wealth Management serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (101); high net worth individuals (52); pension and profit sharing plans (but not the plan participants or government pension plans) (12).

**Which custodians does ARK Wealth Management use?**
ARK Wealth Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does ARK Wealth Management report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.H(2) (pending civil proceeding). 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 SEC record: https://adviserinfo.sec.gov/firm/summary/317264

**Does ARK Wealth Management state an account minimum?**
Its Form ADV Part 2A brochure dated July 16, 2026 says: "There is an account minimum of $1 million to open an account with AWM, which may be waived at AWM’s discretion."

**What changed in ARK Wealth Management's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $191,000,000 to $216,000,000 (+13%). Employees performing advisory functions went from 1 to 2. Item 11 disclosure answers changed: 1 yes answer, previously 0 (now yes: 11.H(2)). Registered or notice-filed in NC. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated July 16, 2026)

- Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)

> There is an account minimum of $1 million to open an account with AWM, which may be waived at AWM’s discretion.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $216,000,000
- Discretionary: $216,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 101 | $34,500,000 |
| High net worth individuals | 52 | $163,870,000 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 12 | $7,350,000 |
| Charitable organizations | 9 | $5,380,000 |
| Other investment advisers | 1 | $4,900,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2022 (4 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, LA, NC, NH, TX
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.H(2): Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/317264

### Websites listed on Form ADV (Item 1.I)
- arkfinancial.com
- LinkedIn @ark-financial-group-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $107,000,000 | 4 | June 15, 2022 |
| October 2023 | $121,300,000 | 6 | July 5, 2023 |
| October 2024 | $144,581,209 | 4 | September 4, 2024 |
| October 2025 | $191,000,000 | 4 | March 31, 2025 |
| October 2026 | $216,000,000 | 2 | July 16, 2026 |

Regulatory assets under management: $107,000,000 in the October 2022 data and $216,000,000 in the October 2026 data, up 102%.
Total employees: 4 in October 2022 and 2 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $191,000,000 to $216,000,000 (+13%).
- Employees performing advisory functions went from 1 to 2.
- Item 11 disclosure answers changed: 1 yes answer, previously 0 (now yes: 11.H(2)).
- Registered or notice-filed in NC.
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. ARK Wealth Management (CRD 317264): Form ADV filing data as of October 2026.