{"url":"https://nivawealth.com/firms/aria-wealth-management-288450","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/288450","regulatoryAum":129968474,"crd":"288450","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2876261","suffix":null,"lastName":"CARLSON","firstName":"RUSSELL","middleName":"PAUL"},{"crd":"4659962","suffix":null,"lastName":"CARR","firstName":"CARRIE","middleName":"KATHERINE"},{"crd":"2457893","suffix":null,"lastName":"LAWRENCE","firstName":"JOSEPH","middleName":"SCOTT"},{"crd":"5198499","suffix":null,"lastName":"LUNA","firstName":"ELIZABETH","middleName":"NMN"},{"crd":"2667877","suffix":"III","lastName":"MCATEER","firstName":"CHARLES","middleName":"FRANCIS"},{"crd":"6616698","suffix":null,"lastName":"PIZZELLA","firstName":"LAWRENCE","middleName":"FREDERICK"}],"total":6,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-04-09","regulatoryAum":173262079,"clients":330,"employees":10,"offices":6},{"filedOn":"2022-03-29","regulatoryAum":195858752,"clients":358,"employees":10,"offices":6},{"filedOn":"2023-04-10","regulatoryAum":173024394,"clients":287,"employees":10,"offices":6},{"filedOn":"2024-03-29","regulatoryAum":194326307,"clients":278,"employees":10,"offices":6},{"filedOn":"2025-04-15","regulatoryAum":122757930,"clients":255,"employees":10,"offices":5},{"filedOn":"2026-04-01","regulatoryAum":129968474,"clients":249,"employees":9,"offices":5}],"secFileNumber":"801-110703","legalName":"Aria Wealth Management, Inc.","displayName":"Aria Wealth Management","slug":"aria-wealth-management-288450","website":"https://ariawm.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"HTTP://WWW.linkedin.com/company/17916243/admin/","founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"20640 3rd Steet, Suite 300","city":"Saratoga","state":"CA","stateName":"California","country":"United States","postalCode":"95070"},"tradeNames":["Fortress Retirement Group","Sage Wealth Management"],"registration":{"secApproved":"5 July 2017","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":456328.44036697247,"staff":{"employees":9,"advisory":6,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":129968474,"discretionary":121620617,"discretionaryAccounts":556,"nonDiscretionary":8347857,"nonDiscretionaryAccounts":14,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":190,"regulatoryAum":40191633},{"label":"High-net-worth individuals","clients":28,"regulatoryAum":59287967},{"label":"Pension and profit-sharing plans","clients":12,"regulatoryAum":7466467},{"label":"Charitable organizations","clients":2,"fewerThan5":true,"regulatoryAum":3835645},{"label":"State or municipal government entities","clients":15,"regulatoryAum":18305372},{"label":"Other","clients":2,"fewerThan5":true,"regulatoryAum":881390}],"feePrograms":[{"role":"other","program":"Comprehensive Financial Planning","summary":"Typically $1,500 to $2,500 per plan, contracted in advance, or included free with account management.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039840","versionId":1039840,"submittedOn":"2026-04-01","documentName":"ARIA WEALTH PART 2A BROCHURE"},{"role":"other","program":"Hourly Financial Planning","summary":"Hourly rates from $150 to $500, billed monthly or on completion.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039840","versionId":1039840,"submittedOn":"2026-04-01","documentName":"ARIA WEALTH PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T15:46:30.160216+00:00","documents":[{"name":"ARIA WEALTH PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039840","versionId":1039840,"submittedOn":"2026-04-01"}]},"custodians":[],"custodyNote":"Aria Wealth Management has custody of $38.9M in client assets for 123 clients.","otherCustodians":[],"leadership":[{"name":"Joseph Lawrence","title":"Vice President & Managing Director","crd":"2457893"},{"name":"Elizabeth Luna","title":"Vice President & Managing Director","crd":"5198499"},{"name":"Lawrence Pizzella","title":"Chief Compliance Officer, CEO & Managing Director","crd":"6616698"}],"ownership":[{"label":"Aria Wealth LLC","detail":"Owner in the 75% or more ownership band and a control person, since March 2019."},{"label":"Ironwood Professional Services LLC","detail":"Indirect owner: a owner of Aria Wealth LLC in the 25% to 50% band and a control person, since February 2019.","parent":"Aria Wealth LLC"},{"label":"Elf Investments LLC","detail":"Indirect owner: a owner of Aria Wealth LLC in the 25% to 50% band and a control person, since February 2019.","parent":"Aria Wealth LLC"},{"label":"Aria Investment Management LLC","detail":"Indirect owner: a owner of Aria Wealth LLC in the 25% to 50% band and a control person, since March 2019.","parent":"Aria Wealth LLC"},{"label":"Joseph Lawrence","detail":"Indirect owner: a owner of Aria Investment Management LLC in the 75% or more band and a control person, since March 2019.","parent":"Aria Investment Management LLC"},{"label":"Elizabeth Luna","detail":"Indirect owner: a owner of Elf Investments LLC in the 75% or more band and a control person, since February 2019.","parent":"Elf Investments LLC"},{"label":"Lawrence Pizzella","detail":"Indirect owner: a owner of Ironwood Professional Services LLC in the 75% or more band and a control person, since February 2019.","parent":"Ironwood Professional Services LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":1},"listedOfficeAddresses":4,"foreignOffices":[],"officesByState":[{"state":"Alabama","offices":1,"addresses":[{"street":"1525 Perimeter Parkway","city":"Huntsville"}]},{"state":"Arkansas","offices":1,"addresses":[{"street":"650 S. Shackleford Road","city":"Little Rock"}]},{"state":"California","offices":1,"addresses":[{"street":"20640 3rd Steet, Suite 300","city":"Saratoga","headquarters":true}]},{"state":"Georgia","offices":1,"addresses":[{"street":"1 Glen Lake Parkway","city":"Atlanta"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"669-222-1155","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["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)"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":45},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":41},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"1 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/288450/PDF/288450.pdf","brochureDate":"1 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1039840","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Aria Wealth Management have?","answer":"Aria Wealth Management has 249 clients and manages $130 million for them, as of April 2026. They include 190 individual clients, 28 high-net-worth individuals and 15 state or municipal government entities.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Aria Wealth Management offer?","answer":"Aria Wealth Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Aria Wealth Management have?","answer":"Aria Wealth Management has 6 investment adviser representatives registered with state securities authorities, out of 9 employees, and 6 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Aria Wealth Management invest in?","answer":"At the end of its last fiscal year, Aria Wealth Management’s separately managed accounts held 45% exchange-traded equities, 41% registered funds (mutual funds, ETFs, BDCs), 10% cash and equivalents, 1% U.S. government and agency bonds, 1% state and local bonds, 1% investment grade corporate bonds and 1% derivatives.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Aria Wealth Management?","answer":"Aria Wealth Management is owned through a chain of holding companies by Joseph Lawrence, Elizabeth Luna and Lawrence Pizzella. Its direct owner is Aria Wealth LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Aria Wealth Management get paid?","answer":"Aria Wealth Management is paid through a percentage of assets under management and hourly charges. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Aria Wealth Management?","answer":"Aria Wealth Management’s main office is at 20640 3rd Steet, Suite 300, Saratoga, CA 95070. Its phone number is 669-222-1155. Its website is ariawm.com.","source":"Form ADV Part 1A, Item 1.F, filed 1 April 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}