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RAI Wealth Management
Filed as RAI WEALTH MANAGEMENT · Legal name Richey Advisors, Inc.
RAI Wealth Management is an SEC-registered investment advisory firm in Placentia, CA, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 23, 2026.
Quick answers
From the filingHow is RAI Wealth Management compensated?
On its Form ADV (Item 5.E, October 2026), RAI Wealth Management reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
How much does RAI Wealth Management charge?
Its Form ADV Part 2A brochure dated April 23, 2026 states: Hourly rate: $200 an hour (Financial Planning Services); Hourly rate: $200 an hour (consultation time with a planner). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is RAI Wealth Management located?
RAI Wealth Management's principal office is in Placentia, CA, according to its Form ADV.
Is RAI Wealth Management registered with the SEC or a state?
RAI Wealth Management is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 277137.
How much does RAI Wealth Management manage?
RAI Wealth Management reports $159,654,662 in regulatory assets under management in its Form ADV filing dated September 23, 2026 (100% discretionary).
How have RAI Wealth Management's assets and staff changed since 2025?
In the Form ADV data for RAI Wealth Management: Regulatory assets under management: $135,905,953 in the October 2025 data and $159,654,662 in the October 2026 data, up 17%. Total employees: 5 in October 2025 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does RAI Wealth Management serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (210); high net worth individuals (37).
Which custodians does RAI Wealth Management use?
RAI Wealth Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and SEI Private Trust Co as custodians holding 10% or more of its separately managed account assets.
Does RAI Wealth Management 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/277137
What changed in RAI Wealth Management's recent Form ADV filings?
In the May 2026 filing data: Regulatory assets under management went from $135,905,953 to $159,654,662 (+17%).
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
- Hourly charges
- 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 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Hourly rate: $200 an hour (Financial Planning Services)
The brochure's wording
Thereafter, RAI will calculate the financial planning fee based on an hourly rate of $200. The total fees will be based on an estimate of the overall hours needed to complete the plan
Hourly rate: $200 an hour (consultation time with a planner)
The brochure's wording
Thereafter, RAI charges on an hourly basis for consultation time with a planner at a rate of $200 per hour with a minimum initial charge of $500.
As stated in the firm's Form ADV Part 2A brochure dated April 23, 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$159,654,662 as of October 2026, filing dated September 23, 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
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other
Registration and firm details
Items 1, 2, 5- Legal name
- Richey Advisors, Inc.
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2025 (1 year)
- Employees
- Total: 5. Performing investment advisory functions: 4.
- 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
-
4 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 | $159,654,662 | 5 | September 23, 2026 |
| October 2025 | $135,905,953 | 5 | June 27, 2025 |
Regulatory assets under management: $135,905,953 in the October 2025 data and $159,654,662 in the October 2026 data, up 17%.
Total employees: 5 in October 2025 and 5 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- May 2026
- Regulatory assets under management went from $135,905,953 to $159,654,662 (+17%).
- December 2025
- Registered or notice-filed in AZ.
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. RAI Wealth Management (CRD 277137): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/rai-wealth-management-placentia-ca-277137