{"url":"https://nivawealth.com/firms/laguna-wealth-advisors-167847","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/167847","regulatoryAum":161238425,"crd":"167847","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2308699","suffix":null,"lastName":"LABRIOLA","firstName":"JOHN","middleName":"ROBERT"},{"crd":"8157575","suffix":null,"lastName":"Labriola","firstName":"Ryan","middleName":"Joseph"},{"crd":"5917996","suffix":null,"lastName":"REAL","firstName":"ISAIAH","middleName":"ALEXANDER"},{"crd":"1851838","suffix":null,"lastName":"ZITA","firstName":"MARIO","middleName":"Donato"}],"total":4,"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":"2024-03-14","regulatoryAum":117245129,"clients":240,"employees":2,"offices":2},{"filedOn":"2025-03-13","regulatoryAum":129139596,"clients":236,"employees":3,"offices":2},{"filedOn":"2026-07-16","regulatoryAum":161238425,"clients":299,"employees":4,"offices":2}],"secFileNumber":"801-129282","legalName":"Laguna Wealth Advisors, LLC","displayName":"Laguna Wealth Advisors","slug":"laguna-wealth-advisors-167847","website":"https://lagunawealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"2 January 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":537572.8333333334,"staff":{"employees":4,"advisory":4,"brokerDealerReps":0,"insuranceAgents":3,"promoters":1},"aum":{"regulatory":161238425,"discretionary":161045309,"discretionaryAccounts":655,"nonDiscretionary":193116,"nonDiscretionaryAccounts":30,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":242,"regulatoryAum":49043442},{"label":"High-net-worth individuals","clients":46,"regulatoryAum":105777534},{"label":"Pension and profit-sharing plans","clients":3,"fewerThan5":true,"regulatoryAum":4301681},{"label":"Corporations and other businesses","clients":8,"regulatoryAum":2115768}],"feePrograms":[{"role":"main","program":"Comprehensive Portfolio Management Services","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1.5,"from":0},{"to":1000000,"pct":1.25,"from":500000},{"to":3000000,"pct":0.9,"from":1000000},{"to":null,"pct":0.65,"from":3000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052094","versionId":1052094,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-07-16","documentName":"PART 2A OF FORM ADV: FIRM BROCHURE","fee_rate_low":0.65,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Estate Planning Services","summary":"Estate planning is billed as a flat fee that will not exceed $4,000, with the fee set in the signed consulting agreement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052094","versionId":1052094,"submittedOn":"2026-07-16","documentName":"PART 2A OF FORM ADV: FIRM BROCHURE"},{"role":"other","program":"Retirement Plan Consulting","summary":"Retirement plan consulting is billed on a percentage of plan assets under management, not to exceed 1.50%, with the fee set in the consulting agreement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052094","versionId":1052094,"submittedOn":"2026-07-16","documentName":"PART 2A OF FORM ADV: FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:42:57.5766+00:00","documents":[{"name":"PART 2A OF FORM ADV: FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052094","versionId":1052094,"submittedOn":"2026-07-16"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":157245231}],"custodyNote":"Laguna Wealth Advisors has custody of $37.9M in client assets for 73 clients.","otherCustodians":[],"leadership":[{"name":"John Labriola","title":"Managing Member & Chief Compliance Officer","crd":"2308699"}],"ownership":[{"label":"John Labriola","detail":"Managing member & chief compliance officer in the 75% or more ownership band and a control person, since April 2013."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"300 Spectrum Center, Suite 400","city":"Irvine"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"949-464-4466","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"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"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":15},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":80},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":2},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":1,"detail":"Misch."}],"privateFunds":0},"sources":{"adv1FilingDate":"16 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/167847/PDF/167847.pdf","brochureDate":"16 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052094","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 Laguna Wealth Advisors have?","answer":"Laguna Wealth Advisors has 299 clients and manages $161 million for them, as of July 2026. They include 242 individual clients, 46 high-net-worth individuals, and 8 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Laguna Wealth Advisors offer?","answer":"Laguna Wealth Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.","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 Laguna Wealth Advisors charge?","answer":"Laguna Wealth Advisors charges 0.65%–1.50% a year for its Comprehensive Portfolio Management Services. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"PART 2A OF FORM ADV: FIRM BROCHURE, filed 16 July 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Laguna Wealth Advisors use?","answer":"Laguna Wealth Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $157M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Laguna Wealth Advisors have?","answer":"Laguna Wealth Advisors has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 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 Laguna Wealth Advisors invest in?","answer":"At the end of its last fiscal year, Laguna Wealth Advisors’ separately managed accounts held 80% registered funds (mutual funds, ETFs, BDCs), 15% exchange-traded equities, 2% pooled vehicles (private funds and similar), 1% U.S. government and agency bonds, 1% cash and equivalents and 1% other. The 1% other category is described as: Misch.","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 Laguna Wealth Advisors?","answer":"Laguna Wealth Advisors’ direct owner is John Labriola (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 16 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Laguna Wealth Advisors get paid?","answer":"Laguna Wealth Advisors is paid through a percentage of assets under management. 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 Laguna Wealth Advisors?","answer":"Its phone number is 949-464-4466. Its website is lagunawealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 16 July 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."}