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.
SEC-registered adviser
Principia Wealth Advisory, LLC
Latest filing Mar 31, 2026
First filing on the tape Nov 15, 2022 · 5 filings
SEC status approved since Dec 15, 2022
RAUM
$225M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$200M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$56.3M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$225M as of Mar 31, 2026
Mar 28, 2023$125M then
HNW client RAUM$174M as of Mar 31, 2026
Mar 28, 2023$101M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 28, 20233 then
Employees (5.A)5 as of Mar 31, 2026
Mar 28, 20234 then
Private funds: no history
RAUM +18% over the last fiscal year+22% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $56.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $305,292derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$174M77%
- Individuals$26.0M12%
- Charitable organizations$22.0M9.8%
- Insurance companies$3.0M1.3%
- Individual clients
- 71reported
- HNW clients
- 81reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 737reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Aaron Joseph Plautz | Dallas, Tx | Mar 3, 2010 | 20 y | 1 |
| Andrew W WinninghamCertified Financial Planner | Dallas, Tx | Sep 29, 2015 | 11 y | 0 |
| Michael David Miller | Dallas, Tx | Jan 4, 2020 | 24 y | 5 |
| Matt Allen HarrelsonCertified Financial Planner | Dallas, Tx | Feb 9, 2024 | 18 y | 7 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Matt Allen Harrelson from Schwab Wealth Advisory, Inc.Feb 9, 2024 · Other
- Michael David Miller from True North Advisors, LLCJan 4, 2020 · RIA to RIA
- Aaron Joseph Plautz from Equitable Advisors, LLCMar 3, 2010 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Aaron Plautz · President And Chief Compliance Officercontrolsince 01/2010 · owns 75% or more
- W Andrew Winningham · Partner And Lead Advisorsince 01/2023 · 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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fort Worth, TX1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 736 to 737Mar 28, 2025 to Mar 31, 2026
- HNW clients · 82 to 81Mar 28, 2025 to Mar 31, 2026
- Individual clients · 67 to 71Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $190M to $225MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $148M to $174MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $20.0M to $26.0MMar 28, 2025 to Mar 31, 2026
- RAUM · $190M to $225MMar 28, 2025 to Mar 31, 2026
- Accounts · 634 to 736Mar 29, 2024 to Mar 28, 2025
- HNW clients · 77 to 82Mar 29, 2024 to Mar 28, 2025
- Individual clients · 53 to 67Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · 26-50 to 51-100Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $163M to $190MMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $128M to $148MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $16.0M to $20.0MMar 29, 2024 to Mar 28, 2025
- RAUM · $163M to $190MMar 29, 2024 to Mar 28, 2025
- Accounts · 603 to 634Mar 28, 2023 to Mar 29, 2024
- Advisory employees · 3 to 4Mar 28, 2023 to Mar 29, 2024
- Charity clients · 2 to 3Mar 28, 2023 to Mar 29, 2024
- HNW clients · 73 to 77Mar 28, 2023 to Mar 29, 2024
- Individual clients · 54 to 53Mar 28, 2023 to Mar 29, 2024
- Employees · 4 to 5Mar 28, 2023 to Mar 29, 2024
- State-registered IARs · 3 to 4Mar 28, 2023 to Mar 29, 2024
- Other offices · 3 to 4Mar 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $125M to $163MMar 28, 2023 to Mar 29, 2024
- HNW RAUM · $101M to $128MMar 28, 2023 to Mar 29, 2024
- Individual RAUM · $13.7M to $16.0MMar 28, 2023 to Mar 29, 2024
- RAUM · $125M to $163MMar 28, 2023 to Mar 29, 2024
- Accounts · 567 to 603Nov 15, 2022 to Mar 28, 2023
- HNW clients · 70 to 73Nov 15, 2022 to Mar 28, 2023
- Individual clients · 55 to 54Nov 15, 2022 to Mar 28, 2023
- Discretionary RAUM · $109M to $125MNov 15, 2022 to Mar 28, 2023
- HNW RAUM · $86.6M to $101MNov 15, 2022 to Mar 28, 2023
- RAUM · $109M to $125MNov 15, 2022 to Mar 28, 2023
Signals
1 dated events
- Principia Wealth Advisory, Llc filed its initial SEC registration (Form ADV)Nov 15, 2022 · 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.
How to reach
public business contact points only, each with its source
- Website
- PWADVISORY.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 214-775-0899reportedpublic record, Form ADV, Mar 31, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $56.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026