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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

RBA WEALTH MANAGEMENT, LLC

CRD 291029

NEWPORT BEACH, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9e31bdc4-7dfd-4c02-8260-5929b9db1ef9

Data as of Mar 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Nov 16, 2017 to Mar 4, 2026
15 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=false bd_reps=4.0
Regulatory AUM: $452MItem 5.F on the latest filing (2026-03-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $422M
Private client RAUM: $431MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $113Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,170
Individual clients: 296
High net worth clients: 125
Custody, client assets: $156M
SEC number: 801-112189
CIK: 1776296
CRD: 291029
Filings on the tape: 15
First filed: Nov 16, 2017
Latest filed: Mar 4, 2026
Organised: Limited Liability Company, DE
Website: rba-wealth.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MATTHEW ALLEN BRADLEY	Certified Financial Planner	NEWPORT BEACH, CA	8	26	3	yes
NICOLE ANASTASIA PLUMLEE	n/a	Newport Beach, CA	7	28	2	yes
John David Wolfe	n/a	NEWPORT BEACH, CA	0	11	n/a	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BRADLEY, MATTHEW, ALLEN	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	11/2017	Nov 16, 2017	Mar 18, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Mar 4, 2026	$452M	$422M	7	2	n/a	n/a
2024	Mar 19, 2025	$404M	$373M	5	2	n/a	n/a
2023	Mar 18, 2024	$356M	$327M	6	3	n/a	n/a
2022	Mar 9, 2023	$309M	$280M	6	2	n/a	n/a
2021	Mar 24, 2022	$333M	$295M	5	2	n/a	n/a
2020	Mar 25, 2021	$256M	$241M	4	2	n/a	n/a
2019	Feb 12, 2020	$232M	$210M	4	2	n/a	n/a
2018	Jan 23, 2019	$203M	$176M	4	2	n/a	n/a
2017	Apr 6, 2018	$182M	$182M	4	2	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	25.0%	0	0	0	0	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$452M	$404M	12.0%	$309M	13.5%	7	5	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PKS ADVISORY SERVICES, LLC	2	Jan 3, 2018	Nov 1, 2019	ALBANY, NY	Team lift out	Other	11.1%

Relationships

Registered with (6)

← John David WolfeAdvisorregistration: current employment
Jul 16, 2026 to presentfactForm ADV
← MARK EDWARD DEILYAdvisorregistration: current employment
Nov 21, 2019 to presentfactForm ADV
← NICOLE ANASTASIA PLUMLEEAdvisorregistration: current employment
Jan 18, 2019 to presentfactForm ADV
← MATTHEW ALLEN BRADLEYAdvisorregistration: current employment
Dec 26, 2017 to presentfactForm ADV
← THOMAS ALAN HOFFMANAdvisorregistration: previous registration
Nov 1, 2019 to Mar 30, 2026factForm ADV
← Austin Lawrence VelardeAdvisorregistration: previous registration
Dec 1, 2023 to Dec 13, 2024factForm ADV

Controls (1)

← BRADLEY, MATTHEW, ALLENOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 16, 2017 to Mar 18, 2024factForm ADV

Moved with (1)

← PKS ADVISORY SERVICES, LLCRegistered adviser2 advisors, team lift out, same day
Jan 3, 2018 to Nov 1, 2019factForm ADV

Dated events

Occurred
Mar 30, 2026
Advisor changed firm
Thomas Alan Hoffman left Rba Wealth Management, Llc for Asset One Wealth Management, Llc (registered 2026-04-22)
Form ADVobserved 4 days ago
Occurred
Dec 13, 2024
Advisor changed firm
Austin Lawrence Velarde left Rba Wealth Management, Llc for Lpl Financial Llc (registered 2024-12-13)
Form ADVobserved 4 days ago
Occurred
Nov 16, 2017
First Form ADV filing
Rhett Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9e31bdc4-7dfd-4c02-8260-5929b9db1ef9
First observed: Nov 16, 2017
Last observed: Mar 4, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RBA WEALTH MANAGEMENT, LLC

CRD 291029

NEWPORT BEACH, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9e31bdc4-7dfd-4c02-8260-5929b9db1ef9

Data as of Mar 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:30 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MATTHEW ALLEN BRADLEY

Certified Financial Planner

NEWPORT BEACH, CA

yes

NICOLE ANASTASIA PLUMLEE

n/a

Newport Beach, CA

yes

John David Wolfe

n/a

NEWPORT BEACH, CA

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRADLEY, MATTHEW, ALLEN

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

11/2017

Nov 16, 2017

Mar 18, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 4, 2026

$452M

$422M

n/a

2024

Mar 19, 2025

$404M

$373M

n/a

2023

Mar 18, 2024

$356M

$327M

n/a

2022

Mar 9, 2023

$309M

$280M

n/a

2021

Mar 24, 2022

$333M

$295M

n/a

2020

Mar 25, 2021

$256M

$241M

n/a

2019

Feb 12, 2020

$232M

$210M

n/a

2018

Jan 23, 2019

$203M

$176M

n/a

2017

Apr 6, 2018

$182M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

25.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$452M

$404M

12.0%

$309M

13.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PKS ADVISORY SERVICES, LLC

Jan 3, 2018

Nov 1, 2019

ALBANY, NY

Team lift out

Other

11.1%