{
  "crd_number": 298165,
  "slug": "avaii-wealth-management-llc-appleton-wi-298165",
  "primary_business_name": "AVAII WEALTH MANAGEMENT, LLC",
  "legal_name": "AVAII WEALTH MANAGEMENT, LLC",
  "dbas": [
    "WILLIAMS FINANCIAL"
  ],
  "city": "Appleton",
  "state": "WI",
  "country": "United States",
  "cbsa_code": "11540",
  "metro": {
    "cbsa_code": "11540",
    "common_name": "Appleton",
    "msa_name": "Appleton, WI",
    "path": "/advisors/wi/appleton"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2018-09-06",
  "years_registered": 8,
  "period": "2026-10-01",
  "filing_date": "2026-09-29",
  "carried_forward": false,
  "raum_total": 602750772.0,
  "raum_discretionary": 593794166.0,
  "raum_non_discretionary": 8956606.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 18,
  "advisory_employees": 10,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 1967826.0,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 268187788.0,
      "count": 802
    },
    "pension_profit_sharing": {
      "raum": 16400000.0,
      "count": 9
    },
    "high_net_worth_individuals": {
      "raum": 316195158.0,
      "count": 184
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "FL",
    "IL",
    "MI",
    "MN",
    "NH",
    "TN",
    "TX",
    "WI"
  ],
  "websites": [
    "https://avaii.com",
    "https://facebook.com/AvaiiWealthManagement",
    "https://instagram.com/avaiiwealthmanagement",
    "https://linkedin.com/company/avaii-wealth-management",
    "https://tiktok.com/@avaiiwealthmanagement?_r=1&_t=ZP-97XGoJq2TxG",
    "https://youtube.com/@AvaiiWealthManagement"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/298165",
  "city_as_filed": "APPLETON",
  "url": "https://advisorcensus.com/firm/avaii-wealth-management-llc-appleton-wi-298165",
  "display_name": "Avaii Wealth Management, LLC",
  "summary": "Avaii Wealth Management, LLC is an SEC-registered investment advisory firm in Appleton, WI, registered since 2018, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated September 29, 2026.",
  "citation": "AdvisorCensus. Avaii Wealth Management, LLC (CRD 298165): 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",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Avaii Wealth Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Avaii Wealth Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Avaii Wealth Management, LLC located?",
      "a": "Avaii Wealth Management, LLC's principal office is in Appleton, WI, according to its Form ADV."
    },
    {
      "q": "Is Avaii Wealth Management, LLC registered with the SEC or a state?",
      "a": "Avaii Wealth Management, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 298165."
    },
    {
      "q": "How much does Avaii Wealth Management, LLC manage?",
      "a": "Avaii Wealth Management, LLC reports $602,750,772 in regulatory assets under management in its Form ADV filing dated September 29, 2026 (99% discretionary)."
    },
    {
      "q": "How have Avaii Wealth Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Avaii Wealth Management, LLC: Regulatory assets under management: $226,177,558 in the October 2021 data and $602,750,772 in the October 2026 data, up 166%. Total employees: 9 in October 2021 and 18 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Avaii Wealth Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (802); high net worth individuals (184); pension and profit sharing plans (but not the plan participants or government pension plans) (9)."
    },
    {
      "q": "Which custodians does Avaii Wealth Management, LLC use?",
      "a": "Avaii Wealth Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Avaii Wealth Management, LLC 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/298165"
    },
    {
      "q": "What changed in Avaii Wealth Management, LLC's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Added the business name Williams Financial."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 226177558.0,
      "total_employees": 9,
      "filing_date": "2021-09-13"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 315213155.0,
      "total_employees": 14,
      "filing_date": "2022-08-29"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 303682414.0,
      "total_employees": 15,
      "filing_date": "2023-09-08"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 409612956.0,
      "total_employees": 15,
      "filing_date": "2024-09-09"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 442587428.0,
      "total_employees": 14,
      "filing_date": "2025-07-02"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 602750772.0,
      "total_employees": 18,
      "filing_date": "2026-09-29"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Added the business name Williams Financial."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 9 to 10.",
        "Regulatory assets under management went from $442,587,428 to $602,750,772 (+36%)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in GA.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Employees performing advisory functions went from 10 to 9."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Fidelity Brokerage Services LLC",
      "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/avaii-wealth-management-llc-appleton-wi-298165.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 802,
      "fewer_than_5": false,
      "raum": 268187788.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 184,
      "fewer_than_5": false,
      "raum": 316195158.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 9,
      "fewer_than_5": false,
      "raum": 16400000.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": 1967826.0
    }
  ],
  "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/298165",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}