# Carlsbad Wealth Advisory Group, Inc.

> Carlsbad Wealth Advisory Group, Inc. is an SEC-registered investment advisory firm in Carlsbad, CA, registered since 2016, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 4, 2026.

- CRD: 146587
- Filed as: CARLSBAD WEALTH ADVISORY GROUP, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Carlsbad, CA
- Filing period: October 2026
- Form ADV filing dated: August 4, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/146587
- AdvisorCensus page: https://advisorcensus.com/firm/carlsbad-wealth-advisory-group-inc-carlsbad-ca-146587

## Quick answers

**How is Carlsbad Wealth Advisory Group, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Carlsbad Wealth Advisory Group, Inc. reports these compensation arrangements: a percentage of assets under its management.

**How much does Carlsbad Wealth Advisory Group, Inc. charge?**
Its Form ADV Part 2A brochure dated August 4, 2026 states: Up to $500,000: 1% a year; $500,000 to $3,000,000: 0.75% a year; $3,000,000 to $10,000,000: 0.5% a year; Above $10,000,000: 0.4% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Carlsbad Wealth Advisory Group, Inc. located?**
Carlsbad Wealth Advisory Group, Inc.'s principal office is in Carlsbad, CA, according to its Form ADV.

**Is Carlsbad Wealth Advisory Group, Inc. registered with the SEC or a state?**
Carlsbad Wealth Advisory Group, Inc. is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 146587.

**How much does Carlsbad Wealth Advisory Group, Inc. manage?**
Carlsbad Wealth Advisory Group, Inc. reports $237,557,236 in regulatory assets under management in its Form ADV filing dated August 4, 2026 (100% discretionary).

**How have Carlsbad Wealth Advisory Group, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Carlsbad Wealth Advisory Group, Inc.: Regulatory assets under management: $196,824,814 in the October 2021 data and $237,557,236 in the October 2026 data, up 21%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Carlsbad Wealth Advisory Group, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (168); high net worth individuals (80).

**Which custodians does Carlsbad Wealth Advisory Group, Inc. use?**
Carlsbad Wealth Advisory Group, Inc.'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 Carlsbad Wealth Advisory Group, Inc. 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/146587

**Does Carlsbad Wealth Advisory Group, Inc. state an account minimum?**
Its Form ADV Part 2A brochure dated August 4, 2026 says: "We generally require a minimum portfolio of $1,000,000 for new client households."

**What changed in Carlsbad Wealth Advisory Group, Inc.'s recent Form ADV filings?**
In the September 2026 filing data: Employees performing advisory functions went from 4 to 3.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated August 4, 2026)

- Up to $500,000: 1% a year
- $500,000 to $3,000,000: 0.75% a year
- $3,000,000 to $10,000,000: 0.5% a year
- Above $10,000,000: 0.4% a year

> Our annual investment management fees are tiered based on your total assets under management: Total Assets Under Management Annual Fee First $500,000, plus 1.00%

> Next $2,500,000, plus 0.75%

> Next $7,000,000, plus 0.50%

> Amounts greater than $10,000,000 0.40%

- Account minimum: $1,000,000

> We generally require a minimum portfolio of $1,000,000 for new client households.

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: $237,557,236
- Discretionary: $237,557,236
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 168 | $44,663,723 |
| High net worth individuals | 80 | $192,893,513 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2016 (10 years)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AR, CA, CO, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [carlsbadwealth.com](https://carlsbadwealth.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $196,824,814 | 3 | February 12, 2021 |
| October 2022 | $244,295,531 | 3 | January 9, 2022 |
| October 2023 | $202,449,882 | 3 | March 29, 2023 |
| October 2024 | $180,067,873 | 4 | March 28, 2024 |
| October 2025 | $204,392,308 | 4 | February 8, 2025 |
| October 2026 | $237,557,236 | 3 | August 4, 2026 |

Regulatory assets under management: $196,824,814 in the October 2021 data and $237,557,236 in the October 2026 data, up 21%.
Total employees: 3 in October 2021 and 3 in October 2026.

## Changes in the filing (last 12 months)

### September 2026
- Employees performing advisory functions went from 4 to 3.

### April 2026
- Regulatory assets under management went from $204,392,308 to $237,557,236 (+16%).
- Registered or notice-filed in AR, CO, TX.
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Carlsbad Wealth Advisory Group, Inc. (CRD 146587): Form ADV filing data as of October 2026.