{ "crd_number": 311430, "slug": "rincon-wealth-management-lakeway-tx-311430", "primary_business_name": "RINCON WEALTH MANAGEMENT", "legal_name": "MAL-1 FINANCIAL, LLC", "dbas": [], "city": "Lakeway", "state": "TX", "country": "United States", "cbsa_code": "12420", "metro": { "cbsa_code": "12420", "common_name": "Austin", "msa_name": "Austin-Round Rock-San Marcos, TX", "path": "/advisors/tx/austin" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2021-04-15", "years_registered": 5, "period": "2026-10-01", "filing_date": "2026-03-24", "carried_forward": false, "raum_total": 62157010.0, "raum_discretionary": 62157010.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 1459432.0, "count": null, "fewer_than_5": true }, "individuals": { "raum": 28011538.0, "count": 70 }, "high_net_worth_individuals": { "raum": 32686040.0, "count": 29 } }, "compensation_types": [ "fixed", "other", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals", "portfolio_management_pooled_vehicles", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "CA", "TX" ], "websites": [ "https://facebook.com/rinconwealth", "https://facebook.com/rinconwealthmanagement", "https://rinconwealth.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/311430", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": "LAKEWAY", "url": "https://advisorcensus.com/firm/rincon-wealth-management-lakeway-tx-311430", "display_name": "Rincon Wealth Management", "summary": "Rincon Wealth Management is a state-registered investment advisory firm in Lakeway, TX, registered since 2021, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 24, 2026.", "citation": "AdvisorCensus. Rincon Wealth Management (CRD 311430): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Other" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Rincon Wealth Management compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Rincon Wealth Management reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); other. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Rincon Wealth Management located?", "a": "Rincon Wealth Management's principal office is in Lakeway, TX, according to its Form ADV." }, { "q": "Is Rincon Wealth Management registered with the SEC or a state?", "a": "Rincon Wealth Management is a state-registered investment advisory firm, registered since 2021. Status as filed: APPROVED. CRD 311430." }, { "q": "How much does Rincon Wealth Management manage?", "a": "Rincon Wealth Management reports $62,157,010 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (100% discretionary)." }, { "q": "What types of clients does Rincon Wealth Management serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (70); high net worth individuals (29)." }, { "q": "Does Rincon Wealth Management report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/311430" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/rincon-wealth-management-lakeway-tx-311430.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 70, "fewer_than_5": false, "raum": 28011538.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 29, "fewer_than_5": false, "raum": 32686040.0 }, { "type": "charitable", "label": "Charitable organizations", "count": null, "fewer_than_5": true, "raum": 1459432.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "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/311430", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }