{"url":"https://nivawealth.com/firms/equilibria-wealth-management-311785","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/311785","regulatoryAum":130429296,"crd":"311785","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5232805","suffix":null,"lastName":"BARKER","firstName":"MERCEDES","middleName":"GABRIELLE"},{"crd":"1198173","suffix":null,"lastName":"MOORE","firstName":"JOHN","middleName":"MICHAEL"},{"crd":"7613320","suffix":null,"lastName":"Moore","firstName":"Michael","middleName":"Christopher"}],"total":3,"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":"2021-04-07","regulatoryAum":122657396,"clients":118,"employees":3,"offices":1},{"filedOn":"2022-03-28","regulatoryAum":142828564,"clients":281,"employees":3,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":126274735,"clients":68,"employees":3,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":126360732,"clients":127,"employees":3,"offices":1},{"filedOn":"2025-03-10","regulatoryAum":124316915,"clients":121,"employees":3,"offices":1},{"filedOn":"2026-03-06","regulatoryAum":130429296,"clients":116,"employees":3,"offices":1}],"secFileNumber":"801-119976","legalName":"Equilibria Wealth Management, LLC","displayName":"Equilibria Wealth Management","slug":"equilibria-wealth-management-311785","website":"https://equilibriawealthmanagement.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Texas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"24285 Katy Freeway, Suite 300","city":"Katy","state":"TX","stateName":"Texas","country":"United States","postalCode":"77494"},"tradeNames":[],"registration":{"secApproved":"15 December 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1118657.9739130435,"staff":{"employees":3,"advisory":3,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":130429296,"discretionary":130429296,"discretionaryAccounts":205,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":94,"regulatoryAum":63024652},{"label":"High-net-worth individuals","clients":21,"regulatoryAum":65621015},{"label":"Corporations and other businesses","clients":1,"regulatoryAum":1783629}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015677","versionId":1015677,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-06","documentName":"EQUILIBRIA ADV2A","fee_rate_low":0.5,"fee_rate_high":2.8,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning and Consulting","summary":"Negotiable: hourly at $100 to $400, or an annual fee payable monthly or quarterly; for one-time projects one half is paid on signing.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015677","versionId":1015677,"submittedOn":"2026-03-06","documentName":"EQUILIBRIA ADV2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:48:51.964762+00:00","documents":[{"name":"EQUILIBRIA ADV2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015677","versionId":1015677,"submittedOn":"2026-03-06"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":130429296}],"custodyNote":"Equilibria Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Mercedes Barker","title":"CCO and Managing Member","crd":"5232805"},{"name":"John Moore","title":"Managing Member","crd":"1198173"},{"name":"Gary Warren","title":"Managing Member","crd":"1041815"}],"ownership":[{"label":"Mercedes Barker","detail":"Cco and managing member in the 25% to 50% ownership band and a control person, since February 2010."},{"label":"John Moore","detail":"Managing member in the 25% to 50% ownership band and a control person, since February 2010."},{"label":"Gary Warren","detail":"Managing member in the 25% to 50% ownership band and a control person, since February 2010."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"24285 Katy Freeway, Suite 300","city":"Katy","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"432-617-7788","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":23},{"label":"Securities issued by registered investment companies or business development companies","percent":30},{"label":"Cash and cash equivalents","percent":30},{"label":"Other","percent":17,"detail":"Alternative Investments"}],"privateFunds":0},"sources":{"adv1FilingDate":"6 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/311785/PDF/311785.pdf","brochureDate":"6 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015677","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 Equilibria Wealth Management have?","answer":"Equilibria Wealth Management has 116 clients and manages $130 million for them, as of March 2026. They include 94 individual clients, 21 high-net-worth individuals and 1 corporate or other business client.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Equilibria Wealth Management offer?","answer":"Equilibria Wealth Management provides portfolio management for individuals and small businesses 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 much does Equilibria Wealth Management charge?","answer":"Equilibria Wealth Management charges 0.50%–2.80% a year for its Asset Management. The fee is billed in advance and is negotiable.","source":"EQUILIBRIA ADV2A, filed 6 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Equilibria Wealth Management use?","answer":"Equilibria Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $130M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 6 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Equilibria Wealth Management have?","answer":"Equilibria Wealth Management has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","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 Equilibria Wealth Management invest in?","answer":"At the end of its last fiscal year, Equilibria Wealth Management’s separately managed accounts held 30% registered funds (mutual funds, ETFs, BDCs), 30% cash and equivalents, 23% exchange-traded equities and 17% other. The 17% other category is described as: Alternative Investments.","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 Equilibria Wealth Management?","answer":"Equilibria Wealth Management’s direct owners are Mercedes Barker, John Moore and Gary Warren, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 6 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Equilibria Wealth Management get paid?","answer":"Equilibria 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 Equilibria Wealth Management?","answer":"Equilibria Wealth Management’s main office is at 24285 Katy Freeway, Suite 300, Katy, TX 77494. Its phone number is 432-617-7788. Its website is equilibriawealthmanagement.com.","source":"Form ADV Part 1A, Item 1.F, filed 6 March 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."}