# Wealthyx

> 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.

- CRD: 172380
- Filed as: WEALTHYX
- Legal name: Wealthyx LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: September 28, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/172380
- AdvisorCensus page: https://advisorcensus.com/firm/wealthyx-172380

## Quick answers

**How is Wealthyx compensated?**
On its Form ADV (Item 5.E, October 2026), Wealthyx reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Wealthyx registered with the SEC or a state?**
Wealthyx is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 172380.

**How much does Wealthyx manage?**
Wealthyx reports $750 in regulatory assets under management in its Form ADV filing dated September 28, 2026 (0% discretionary).

**How have Wealthyx's assets and staff changed since 2021?**
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.

**What types of clients does Wealthyx serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (5).

**Which custodians does Wealthyx use?**
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.

**Does Wealthyx report any disciplinary disclosures?**
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

**What changed in Wealthyx's recent Form ADV filings?**
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).

## From the Form ADV filing

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

### Custodians (Schedule D, Section 5.K(3))
- Rhode Island Higher Education Savings Trust (Rihest)

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: $750
- Discretionary: $0
- Non-discretionary: $750

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 5 | $750 |

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

### Firm details
- Registered since: 2014 (12 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CO, FL, ID, NV, NY, RI, TX
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/172380

### Other offices (Schedule D, Section 1.F), as of the September 2025 filing
- Austin, TX

### Websites listed on Form ADV (Item 1.I)
- fatesfinancial.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $54,600,000 | 1 | September 16, 2021 |
| October 2022 | $74,600,000 | 1 | September 30, 2022 |
| October 2023 | $70,204,909 | 1 | September 7, 2023 |
| October 2024 | $74,136,701 | 1 | September 26, 2024 |
| October 2025 | $63,372,000 | 1 | April 29, 2025 |
| October 2026 | $750 | 1 | September 28, 2026 |

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.

## Changes in the filing (last 12 months)

### July 2026
- 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).

### February 2026
- No longer registered or notice-filed in AZ.

### January 2026
- 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Wealthyx (CRD 172380): Form ADV filing data as of October 2026.