Aaron Plautz has been President and Chief Compliance Officer of Principia Wealth Advisory since January 2010, is a control person of the firm and directly owns 75% or more of it.
Principia Wealth Advisory, LLC is a Dallas, TX firm with $225M under management, 156 clients and 4 advisers across 5 offices, as of its March 2026 filing.
Aaron Plautz’s longest registration is the current one, 16 years at Principia Wealth Advisory since 2010. Before joining Principia Wealth Advisory in 2010, Aaron Plautz was registered through Axa Advisors, LLC.
- – present · 16 yearsDallas, TX · Adviser representative · Firm CRD 152678
- Axa Advisors, LLC– · 4 yearsDallas, TX · Adviser representative · Firm CRD 6627
Investment adviser representative registrations
Aaron Plautz is registered as an investment adviser representative in Texas, since March 2010.
- TexasSince 3 March 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 25 June 2007 |
| Series 66 | Uniform Combined State Law Examination | 4 October 2005 |
| Series 7 | General Securities Representative Examination | 3 October 2005 |
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Aaron Joseph Plautz
- CRD
- 5035369
- Firm
- Principia Wealth Advisory · CRD 152678
- Role
- President and Chief Compliance Officer
- Office
- 13355 NOEL RD. STE 1100, Dallas, TX 75240
- Registration
- Investment adviser registration
- In the industry since
- November 2005
- Disciplinary history
- Not yet shown here · SEC record
Where does Aaron Plautz work?
Aaron Plautz has been President and Chief Compliance Officer of Principia Wealth Advisory, LLC since January 2010, and is a control person of the firm.
Is Aaron Plautz a financial advisor?
Yes. Aaron Plautz has a current investment-adviser registration in Texas, through Principia Wealth Advisory since March 2010.
How many years of experience does Aaron Plautz have?
Aaron Plautz has 20 years in the financial industry, since November 2005, across 2 adviser firms.
What exams has Aaron Plautz passed?
Aaron Plautz has passed 3 licensing exams: the Series 7, Series 66 and Series 24. The earliest, the Series 7, was passed in October 2005.
Where did Aaron Plautz work before Principia Wealth Advisory?
Before Principia Wealth Advisory, Aaron Plautz was registered through Axa Advisors, LLC, October 2005 to January 2010.
Where is Aaron Plautz based?
Aaron Plautz’s registered office is in Dallas, TX.
Is Aaron Plautz registered with FINRA?
No. Aaron Plautz has no current broker registration.
How can I verify Aaron Plautz’s record?
Search CRD 5035369 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Aaron Plautz’s full registration record.
