Wealth manager, independent · Scottsdale, AZ
ARQ Wealth Advisors, LLC
SEC-registered investment adviser · CRD 147351 · SEC 801-107346
At a glance
ARQ Wealth Advisors, LLC is an SEC-registered investment adviser based in Scottsdale, Arizona, with $1.2B in regulatory assets under management as of its Form ADV filed August 19, 2026. It reports 597 individual clients, 319 of them high-net-worth, holding an average of about $2.0 million each, and 18 employees. That ranks it 908th among the nation’s 5,657 independent wealth management RIAs and 18th of 125 in Arizona. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Up $103M from $1.1B in its previous filing; rank 992 → 908. This month’s movers →
Main office 480-214-9572arqwealth.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.2B
- Rank among independent wealth managers
- #908 of 5,657
- Rank among all SEC RIAs
- #4,833 of 17,210
- Rank in Arizona
- #18 of 125
- Individual clients
- 597
- High-net-worth clients
- 319
- Accounts
- 2,131
- Discretionary
- 100% of AUM
- Employees
- 18
- Advisory staff
- 11
- Offices
- 1
Owners and executives on its Form ADV
- Richard A. SiegelManaging Member
- James N. RobinsonMember
- Carl S. MarinerPartner/director of Strategic Planning
- William D. LeeMember
- Matthew J. DunnCCO
Custody and brokerage
Broker-dealer
No broker-dealer ties
ARQ Wealth Advisors, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 319 | $1.0B | 86% |
| Individuals | 278 | $148M | 12% |
| Corporations or other businesses | 6 | $12M | <1% |
| Other | 1 | $6M | <1% |
| Pension and profit sharing plans | 1 | $3M | <1% |
Disciplinary disclosures
ARQ Wealth Advisors, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗arqwealth.com ↗
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The full record on ARQ Wealth Advisors, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 9 years of filings
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- Growth over one, three and five years
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- Rank against 3,014 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 6Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Arizona
All of Arizona →| Firm | Regulatory AUM | Clients |
|---|---|---|
| MSH Capital Advisors LLCScottsdale | $1.3B | 2,257 |
| Fortitude Family OfficeScottsdale | $1.3B | 407 |
| Brookwood Investment GroupPhoenix | $1.3B | 3,500 |
| Balboa Wealth Partners, Inc.Scottsdale | $1.1B | 1,084 |
| GR Financial Group, LLCTucson | $1.1B | 1,548 |
| Watts Gwilliam & Company, LLCGilbert | $1.0B | 503 |
Background
Questions
How much does ARQ Wealth Advisors, LLC manage?
ARQ Wealth Advisors, LLC reports $1.2B in regulatory assets under management across 2,131 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 19, 2026.
How many clients does ARQ Wealth Advisors, LLC have?
It reports 597 individual clients: 319 high-net-worth individuals and 278 other individuals. Individuals account for about 98% of its regulatory assets.
Where is ARQ Wealth Advisors, LLC headquartered?
Its main office is in Scottsdale, Arizona. It reports 1 office in total and 18 employees, 11 of whom perform investment advisory functions.
How does ARQ Wealth Advisors, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does ARQ Wealth Advisors, LLC use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed August 19, 2026, it reports these amounts held: Charles Schwab ($1.1B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is ARQ Wealth Advisors, LLC a hybrid RIA with a broker-dealer?
ARQ Wealth Advisors, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is ARQ Wealth Advisors, LLC a fiduciary?
As an SEC-registered investment adviser, ARQ Wealth Advisors, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is ARQ Wealth Advisors, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-19), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →