{
  "crd_number": 172380,
  "slug": "wealthyx-172380",
  "primary_business_name": "WEALTHYX",
  "legal_name": "WEALTHYX LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2014-08-01",
  "years_registered": 12,
  "period": "2026-10-01",
  "filing_date": "2026-09-28",
  "carried_forward": false,
  "raum_total": 750.0,
  "raum_discretionary": 0.0,
  "raum_non_discretionary": 750.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 750.0,
      "count": 5
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 1,
  "states_registered": [
    "CO",
    "FL",
    "ID",
    "NV",
    "NY",
    "RI",
    "TX"
  ],
  "websites": [
    "https://fatesfinancial.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/172380",
  "disclosure_items": [
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/wealthyx-172380",
  "display_name": "Wealthyx",
  "summary": "Wealthyx is an SEC-registered investment advisory firm, registered since 2014, reporting under $25 million in regulatory assets under management in its Form ADV filing dated September 28, 2026.",
  "citation": "AdvisorCensus. Wealthyx (CRD 172380): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Wealthyx compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Wealthyx reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Is Wealthyx registered with the SEC or a state?",
      "a": "Wealthyx is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 172380."
    },
    {
      "q": "How much does Wealthyx manage?",
      "a": "Wealthyx reports $750 in regulatory assets under management in its Form ADV filing dated September 28, 2026 (0% discretionary)."
    },
    {
      "q": "How have Wealthyx's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Wealthyx: Regulatory assets under management: $54,600,000 in the October 2021 data and $750 in the October 2026 data, down 100%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Wealthyx serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (5)."
    },
    {
      "q": "Which custodians does Wealthyx use?",
      "a": "Wealthyx's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Rhode Island Higher Education Savings Trust (rihest) as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Wealthyx report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation). 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 SEC record: https://adviserinfo.sec.gov/firm/summary/172380"
    },
    {
      "q": "What changed in Wealthyx's recent Form ADV filings?",
      "a": "In the July 2026 filing data: Regulatory assets under management went from $68,750,000 to $750 (-100%). No longer lists an office in Austin, TX. Registered or notice-filed in FL, NV, NY, RI, TX. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 54600000.0,
      "total_employees": 1,
      "filing_date": "2021-09-16"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 74600000.0,
      "total_employees": 1,
      "filing_date": "2022-09-30"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 70204909.0,
      "total_employees": 1,
      "filing_date": "2023-09-07"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 74136701.0,
      "total_employees": 1,
      "filing_date": "2024-09-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 63372000.0,
      "total_employees": 1,
      "filing_date": "2025-04-29"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 750.0,
      "total_employees": 1,
      "filing_date": "2026-09-28"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Regulatory assets under management went from $68,750,000 to $750 (-100%).",
        "No longer lists an office in Austin, TX.",
        "Registered or notice-filed in FL, NV, NY, RI, TX.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "No longer registered or notice-filed in AZ."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in AL, AR, CA, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Rhode Island Higher Education Savings Trust (rihest)",
      "name_as_filed": "RHODE ISLAND HIGHER EDUCATION SAVINGS TRUST (RIHEST)",
      "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/wealthyx-172380.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 5,
      "fewer_than_5": false,
      "raum": 750.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item 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/172380",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}