Principia Wealth Advisory provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, estate planning, insurance, and tax planning. Financial planning was provided to 51–100 clients last fiscal year.
Principia Wealth Advisory reports 156 clients. They include 81 high-net-worth individuals, 71 individual clients and 3 charitable organizations. Of its assets, 100.0% ($225M across 737 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 46% | 12% |
| High-net-worth individuals | 52% | 77% |
| Charitable organizations | 2% | 10% |
| Insurance companies | <1% | 1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 71 | $26M | 11.6% | $366K |
| High-net-worth individuals | 81 | $174M | 77.3% | $2.15M |
| Charitable organizations | Fewer than 5 | $22M | 9.8% | $7.33M |
| Insurance companies | Fewer than 5 | $3M | 1.3% | $3M |
| Total | 156 | $225M | 100% | — |
- Clients
- 71
- Regulatory AUM
- $26M
- AUM share
- 11.6%
- Avg. per client
- $366K
- Clients
- 81
- Regulatory AUM
- $174M
- AUM share
- 77.3%
- Avg. per client
- $2.15M
- Clients
- Fewer than 5
- Regulatory AUM
- $22M
- AUM share
- 9.8%
- Avg. per client
- $7.33M
- Clients
- Fewer than 5
- Regulatory AUM
- $3M
- AUM share
- 1.3%
- Avg. per client
- $3M
Total
- Clients
- 156
- Regulatory AUM
- $225M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Principia Wealth Advisory charges 0.50%–1.20% a year for its Investment advisory fees. The fee is billed in advance and is negotiable. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Hourly financial planning and consulting
- Billed at $250 an hour with a one-hour minimum, which may be negotiable; a negotiable initial fee of $1,200 to $6,000 and a monthly retainer of $25 to $400 may also apply.
- Pension consulting
- Annual pension consulting fees run from 0.10% of plan assets up to $1,000,000 down to 0.02% above $100,000,000, billed monthly in advance.
Aaron Plautz owns 75% or more of Principia Wealth Advisory. The leadership team of Principia Wealth Advisory includes President Aaron Plautz. It has 5 employees, 4 of them in advisory roles.
Staff
- 5 employees
- 4 in advisory functions
- 4 state-registered reps
- Owns 75% or more of Principia Wealth Advisory, LLC
Aaron Plautz
Control person · since January 2010
- Owns 5% to 10% of Principia Wealth Advisory, LLC
Andrew Winningham
since January 2023
Principia Wealth Advisory’s regulatory assets grew 1.8× from $125M (March 2023) to $225M (March 2026); clients rose from 130 to 156 and employees from 4 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $225M | 156 | 5 | 5 |
| Mar 2025March 2025 | $190M | 153 | 5 | 5 |
| Mar 2024March 2024 | $163M | 134 | 5 | 5 |
| Mar 2023March 2023 | $125M | 130 | 4 | 4 |
Besides its headquarters, Principia Wealth Advisory has 4 offices (3 private residences, listed without an address), with 2 listed addresses in 1 state.
Texas · 2 listed addresses
- 13355 Noel RD. Ste 1100, DallasHQ
- 9800 Hillwood Pkwy, Fort Worth
Contact and registration details
- Legal name
- Principia Wealth Advisory, LLC
- Headquarters
- 13355 Noel RD. Ste 1100, Dallas, TX 75240
- Website
- pwadvisory.com
- Phone
- 214-775-0899
- SEC file
- 801-127042
- Founded
- 2009
- Structure
- Texas LLC
- Fiscal year end
- December
Principia Wealth Advisory’s named custodian for separately managed accounts is Charles Schwab ($205M). Principia Wealth Advisory does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $205M100%
At year end, Principia Wealth Advisory’s separately managed accounts were mostly in funds (77%) and stocks (12%). Its reported 13F holdings for the quarter ended 30 June 2026 total $201M across 1,065 positions; the largest are Invesco Nasdaq 100 ETF (12.0%), Bny Mellon US Large Cap Core Equity ETF (7.3%) and Vanguard FTSE Developed Markets ETF (5.7%).
What the accounts hold
- Stocks12%
- Funds77%
- Bonds6%
- U.S. government and agency bonds5%
- State and local bonds1%
- Cash5%
How many clients does Principia Wealth Advisory have?
Principia Wealth Advisory has 156 clients and manages $225 million for them, as of March 2026. They include 81 high-net-worth individuals, 71 individual clients and 3 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Principia Wealth Advisory offer?
Principia Wealth Advisory provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Principia Wealth Advisory charge?
Principia Wealth Advisory charges 0.50%–1.20% a year for its Investment advisory fees. The fee is billed in advance and is negotiable.
Which custodians does Principia Wealth Advisory use?
Principia Wealth Advisory’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $205M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Principia Wealth Advisory have?
Principia Wealth Advisory has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Principia Wealth Advisory invest in?
At the end of its last fiscal year, Principia Wealth Advisory’s separately managed accounts held 77% registered funds (mutual funds, ETFs, BDCs), 12% exchange-traded equities, 5% U.S. government and agency bonds, 5% cash and equivalents and 1% state and local bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Principia Wealth Advisory?
Principia Wealth Advisory’s direct owners are Aaron Plautz (75% or more) and Andrew Winningham (5% to 10%).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Principia Wealth Advisory get paid?
Principia Wealth Advisory is paid through a percentage of assets under management, hourly charges and fixed fees. 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
How do I contact Principia Wealth Advisory?
Principia Wealth Advisory’s main office is at 13355 Noel RD. Ste 1100, Dallas, TX 75240. Its phone number is 214-775-0899. Its website is pwadvisory.com.
