DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Moser Wealth Advisors
Legal name Moser Wealth Advisors, LLC
Latest filing Mar 25, 2025
First filing on the tape Jan 12, 2012 · 14 filings
SEC status approved since Apr 2, 2019
RAUM
$279M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$268M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$279M as of Mar 25, 2025
Jan 12, 2012$41.5M then
HNW client RAUM$266M as of Mar 25, 2025
Mar 31, 2020$144M then
State-registered IARs (5.B.3)2 as of Mar 25, 2025
Jan 12, 20120 then
Employees (5.A)3 as of Mar 25, 2025
Mar 31, 20203 then
Private funds: no history
RAUM +22% over the last fiscal year+6.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2025; every figure names its basis
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $536,496derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -17%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$266M95%
- Pension and profit-sharing plans$7.6M2.7%
- Corporations and businesses$3.8M1.4%
- Individuals$1.7M0.6%
- Individual clients
- 0reported
- HNW clients
- 92reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 520reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- Matthew Scott Moser to Beacon Pointe Advisors, LLCDec 5, 2025 · RIA to RIA
- Jean Pierre Remy Pedinielli to Mkt And Associates LLCOct 21, 2025 · RIA to RIA
- Ha Nguyen to Rockefeller Capital ManagementSep 7, 2022 · RIA to affiliated broker-dealer or bank
- Alvin Lavern Wolcott to Synergy Asset Management, LLCDec 1, 2014 · Other
Joined, latest
- Ha Nguyen from Columbia Pacific Wealth ManagementJun 15, 2022 · RIA to RIA
- Jean Pierre Remy Pedinielli from Gravity Capital Partners, LLCNov 24, 2015 · Other
- Alvin Lavern Wolcott from Waddell & ReedOct 29, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Scott Matthew Moser · Presidentcontrolsince 07/1998 · owns 75% or more
Entity owners
- Moser & Company, LLC · Managing Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bellevue, Wa · principal | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 495 to 520Mar 26, 2024 to Mar 25, 2025
- HNW clients · 96 to 92Mar 26, 2024 to Mar 25, 2025
- Individual clients · 15 to 0Mar 26, 2024 to Mar 25, 2025
- Financial planning clients · 51-100 to 51-100Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $229M to $279MMar 26, 2024 to Mar 25, 2025
- HNW RAUM · $217M to $266MMar 26, 2024 to Mar 25, 2025
- Individual RAUM · $2.7M to $1.7MMar 26, 2024 to Mar 25, 2025
- Pension RAUM · $6.4M to $7.6MMar 26, 2024 to Mar 25, 2025
- RAUM · $229M to $279MMar 26, 2024 to Mar 25, 2025
- Accounts · 483 to 495Mar 28, 2023 to Mar 26, 2024
- HNW clients · 88 to 96Mar 28, 2023 to Mar 26, 2024
- Individual clients · 12 to 15Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $188M to $229MMar 28, 2023 to Mar 26, 2024
- HNW RAUM · $177M to $217MMar 28, 2023 to Mar 26, 2024
- Individual RAUM · $2.1M to $2.7MMar 28, 2023 to Mar 26, 2024
- Pension RAUM · $5.7M to $6.4MMar 28, 2023 to Mar 26, 2024
- RAUM · $188M to $229MMar 28, 2023 to Mar 26, 2024
- Accounts · 459 to 483Jun 9, 2022 to Mar 28, 2023
- HNW clients · 82 to 88Jun 9, 2022 to Mar 28, 2023
- Discretionary RAUM · $229M to $188MJun 9, 2022 to Mar 28, 2023
- HNW RAUM · $214M to $177MJun 9, 2022 to Mar 28, 2023
- Individual RAUM · $3.9M to $2.1MJun 9, 2022 to Mar 28, 2023
- Pension RAUM · $6.3M to $5.7MJun 9, 2022 to Mar 28, 2023
- RAUM · $229M to $188MJun 9, 2022 to Mar 28, 2023
- Accounts · 433 to 459Mar 29, 2021 to Mar 29, 2022
- HNW clients · 80 to 82Mar 29, 2021 to Mar 29, 2022
- Individual clients · 9 to 12Mar 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $182M to $229MMar 29, 2021 to Mar 29, 2022
- HNW RAUM · $170M to $214MMar 29, 2021 to Mar 29, 2022
- Individual RAUM · $3.1M to $3.9MMar 29, 2021 to Mar 29, 2022
- Pension RAUM · $5.1M to $6.3MMar 29, 2021 to Mar 29, 2022
- RAUM · $182M to $229MMar 29, 2021 to Mar 29, 2022
- Accounts · 370 to 433Jun 30, 2020 to Mar 29, 2021
- HNW clients · 74 to 80Jun 30, 2020 to Mar 29, 2021
- Individual clients · 12 to 9Jun 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $151M to $182MJun 30, 2020 to Mar 29, 2021
- HNW RAUM · $144M to $170MJun 30, 2020 to Mar 29, 2021
- Individual RAUM · $1.2M to $3.1MJun 30, 2020 to Mar 29, 2021
- Pension RAUM · $4.1M to $5.1MJun 30, 2020 to Mar 29, 2021
- RAUM · $151M to $182MJun 30, 2020 to Mar 29, 2021
Signals
5 dated events
- Moser Wealth Advisors no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $279.0M)Jan 2, 2026 · Left the SEC roster · derived
- Matthew Scott Moser left Moser Wealth Advisors for Beacon Pointe Advisors, Llc (registered 2025-10-15)Dec 5, 2025 · Advisor changed firm · fact
- Jean Pierre Remy Pedinielli left Moser Wealth Advisors for Mkt And Associates Llc (registered 2025-10-21)Oct 21, 2025 · Advisor changed firm · fact
- Ha Nguyen left Moser Wealth Advisors for Rockefeller Capital Management (registered 2023-05-30)Sep 7, 2022 · Advisor changed firm · fact
- Moser Wealth Advisors filed its initial SEC registration (Form ADV)Mar 1, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026