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
Mariaca Wealth Management, LLC
Latest filing Mar 11, 2026
First filing on the tape Feb 12, 2016 · 35 filings
SEC status approved since Feb 25, 2016
RAUM
$251M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$226M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$126M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$251M as of Mar 11, 2026
Jan 19, 2017$118M then
HNW client RAUM$145M as of Mar 11, 2026
Mar 13, 2018$60.4M then
State-registered IARs (5.B.3)2 as of Mar 11, 2026
Jan 19, 20172 then
Employees (5.A)6 as of Mar 11, 2026
Jan 19, 20175 then
Private funds: no history
RAUM +22% over the last fiscal year+7.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 11, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $366,069derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 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
- +2.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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$145M58%
- Individuals$80.2M32%
- Charitable organizations$25.4M10%
- Individual clients
- 236reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 686reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Sergio Arturo MariacaCertified Financial Planner | Wellington, Fl | Jun 29, 2012 | 28 y | 2 |
| Dana Marie PerezCertified Financial Planner | Wellington, Fl | Aug 16, 2013 | 15 y | 2 |
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
- Adam Wilkins to WealthfdJan 29, 2020 · RIA to RIA
- Joseph Benjamin Hogan to WealthfdOct 15, 2018 · RIA to RIA
Joined, latest
- Dana Marie Perez from LPL Financial LLCAug 16, 2013 · Other
- Sergio Arturo Mariaca from LPL Financial LLCJun 29, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lynn Andrea Mariaca · Membercontrolsince 04/2009 · owns 25% to 50%
- Arturo Sergio Mariaca · Managing Member/Chief Compliance Officercontrolsince 04/2009 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Wellington, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 648 to 686Jun 5, 2025 to Mar 11, 2026
- Charity clients · 4 to 3Jun 5, 2025 to Mar 11, 2026
- HNW clients · 46 to 49Jun 5, 2025 to Mar 11, 2026
- Individual clients · 235 to 236Jun 5, 2025 to Mar 11, 2026
- Discretionary RAUM · $205M to $251MJun 5, 2025 to Mar 11, 2026
- HNW RAUM · $118M to $145MJun 5, 2025 to Mar 11, 2026
- Individual RAUM · $64.8M to $80.2MJun 5, 2025 to Mar 11, 2026
- RAUM · $205M to $251MJun 5, 2025 to Mar 11, 2026
- Employees · 5 to 6May 9, 2025 to Jun 5, 2025
- Financial planning clients · 26-50 to 26-50May 9, 2025 to Jun 5, 2025
- Accounts · 642 to 648Feb 6, 2025 to May 9, 2025
- Charity clients · 2 to 4Feb 6, 2025 to May 9, 2025
- Individual clients · 232 to 235Feb 6, 2025 to May 9, 2025
- Discretionary RAUM · $206M to $205MFeb 6, 2025 to May 9, 2025
- HNW RAUM · $125M to $118MFeb 6, 2025 to May 9, 2025
- Individual RAUM · $63.5M to $64.8MFeb 6, 2025 to May 9, 2025
- RAUM · $206M to $205MFeb 6, 2025 to May 9, 2025
- Accounts · 637 to 642Dec 16, 2024 to Feb 6, 2025
- Charity clients · 3 to 2Dec 16, 2024 to Feb 6, 2025
- Individual clients · 230 to 232Dec 16, 2024 to Feb 6, 2025
- Financial planning clients · 11-25 to 26-50Dec 16, 2024 to Feb 6, 2025
- Discretionary RAUM · $212M to $206MDec 16, 2024 to Feb 6, 2025
- HNW RAUM · $128M to $125MDec 16, 2024 to Feb 6, 2025
- Individual RAUM · $65.5M to $63.5MDec 16, 2024 to Feb 6, 2025
- RAUM · $212M to $206MDec 16, 2024 to Feb 6, 2025
- Accounts · 635 to 637May 21, 2024 to Dec 16, 2024
- HNW clients · 44 to 46May 21, 2024 to Dec 16, 2024
- Individual clients · 227 to 230May 21, 2024 to Dec 16, 2024
- HQ city · LAKE WORTH to WELLINGTONMay 21, 2024 to Dec 16, 2024
- Discretionary RAUM · $197M to $212MMay 21, 2024 to Dec 16, 2024
- HNW RAUM · $113M to $128MMay 21, 2024 to Dec 16, 2024
- Individual RAUM · $64.0M to $65.5MMay 21, 2024 to Dec 16, 2024
- RAUM · $197M to $212MMay 21, 2024 to Dec 16, 2024
- Accounts · 619 to 635Mar 21, 2024 to May 21, 2024
- Advisory activities · 4 to 5Mar 21, 2024 to May 21, 2024
- Charity clients · 2 to 3Mar 21, 2024 to May 21, 2024
- HNW clients · 43 to 44Mar 21, 2024 to May 21, 2024
- Individual clients · 232 to 227Mar 21, 2024 to May 21, 2024
- Discretionary RAUM · $186M to $197MMar 21, 2024 to May 21, 2024
- HNW RAUM · $110M to $113MMar 21, 2024 to May 21, 2024
Signals
1 dated events
- Mariaca Wealth Management, Llc filed its initial SEC registration (Form ADV)Feb 12, 2016 · 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
- readyforretirement.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 561-650-8061reportedpublic record, Form ADV, Mar 11, 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
- $126Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026