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Boca Wealth Advisors
Filed as BOCA WEALTH ADVISORS · Legal name Boca Wealth Advisors, LLC
Boca Wealth Advisors is an SEC-registered investment advisory firm in Boca Raton, FL, registered since 1999, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 30, 2026.
Quick answers
From the filingHow is Boca Wealth Advisors compensated?
On its Form ADV (Item 5.E, October 2026), Boca Wealth Advisors reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).
What does Boca Wealth Advisors' brochure say about its fees?
Its Form ADV Part 2A brochure dated January 30, 2026 states: Up to $1,000,000: 1% a year; $1,000,001 to $2,000,000: 0.75% a year; Above $2,000,001: 0.5% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Boca Wealth Advisors located?
Boca Wealth Advisors' principal office is in Boca Raton, FL, according to its Form ADV.
Is Boca Wealth Advisors registered with the SEC or a state?
Boca Wealth Advisors is an SEC-registered investment advisory firm, registered since 1999. Status as filed: Approved. CRD 108038.
How much does Boca Wealth Advisors manage?
Boca Wealth Advisors reports $378,570,000 in regulatory assets under management in its Form ADV filing dated January 30, 2026 (100% discretionary).
How have Boca Wealth Advisors' assets and staff changed since 2021?
In the Form ADV data for Boca Wealth Advisors: Regulatory assets under management: $235,000,000 in the October 2021 data and $378,570,000 in the October 2026 data, up 61%. Total employees: 3 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Boca Wealth Advisors serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (87); individuals (other than high net worth individuals) (66); pension and profit sharing plans (but not the plan participants or government pension plans) (4).
Which custodians does Boca Wealth Advisors use?
Boca Wealth Advisors' 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 Boca Wealth Advisors report any disciplinary disclosures?
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/108038
Does Boca Wealth Advisors state an account minimum?
Its Form ADV Part 2A brochure dated January 30, 2026 says: "We manage assets for high-net-worth individuals, trusts, foundations, and company retirement plans. Our minimum account size is $1,000,000. We may make occasional exceptions to this policy."
What changed in Boca Wealth Advisors' recent Form ADV filings?
In the February 2026 filing data: Employees performing advisory functions went from 3 to 2. Regulatory assets under management went from $333,406,000 to $378,570,000 (+14%). Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2A| Assets | Annual rate |
|---|---|
| Up to $1,000,000 | 1% |
| $1,000,001 to $2,000,000 | 0.75% |
| Above $2,000,001 | 0.5% |
The brochure's wording
Here is our investment advisory fee schedule: Assets Under Management *Annual Fee First $1,000,000 1.00% $1,000,001 to 2,000,000 0.75% Over $2,000,000 0.50%
We may negotiate fees in limited circumstances.
Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)
The brochure's wording
We manage assets for high-net-worth individuals, trusts, foundations, and company retirement plans. Our minimum account size is $1,000,000. We may make occasional exceptions to this policy.
As stated in the firm's Form ADV Part 2A brochure dated January 30, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$378,570,000 as of October 2026, filing dated January 30, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Legal name
- Boca Wealth Advisors, LLC
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 1999 (27 years)
- Employees
- Total: 2. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $378,570,000 | 2 | January 30, 2026 |
| October 2025 | $333,406,000 | 3 | January 31, 2025 |
| October 2024 | $275,360,000 | 3 | January 31, 2024 |
| October 2023 | $259,600,000 | 3 | January 27, 2023 |
| October 2022 | $272,000,000 | 3 | January 26, 2022 |
| October 2021 | $235,000,000 | 3 | January 28, 2021 |
Regulatory assets under management: $235,000,000 in the October 2021 data and $378,570,000 in the October 2026 data, up 61%.
Total employees: 3 in October 2021 and 2 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- February 2026
- Employees performing advisory functions went from 3 to 2.
- Regulatory assets under management went from $333,406,000 to $378,570,000 (+14%).
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Boca Wealth Advisors (CRD 108038): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/boca-wealth-advisors-boca-raton-fl-108038