Aquarius Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$0
Total clients
5
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
5
Average account size
$0
About
The firm provides fee-only investment management to individual and family clients and reports approximately $1.08 million in assets under advisement across a very small client roster. It does not offer comprehensive financial planning as part of its standard services, and clients retain final authority over investment transactions.
The investment approach is fundamental and long‑term, with an emphasis on asset allocation and diversification and an explicit avoidance of futures, short selling, options, and exotic derivatives. The firm uses third‑party platform services and independent custodians for execution and reporting, and delivers advice on a non‑discretionary, advice‑only basis.
A distinctive aspect of the practice is that the firm’s principal also operates an affiliated insurance brokerage and spends a substantive portion of time on insurance activities; associated persons may receive commissions on insurance product sales, a potential conflict the brochure discloses. The principal has completed CFP coursework (but did not sit for the board exam) and maintains other sources of income such as music‑related work; the firm is a solo practice with a very small client base and recently updated its state registration in 2026.
Client services
Portfolio management
Expertise
Wealth management
Fee options
$0.00 - $250,000: 1% $250,000.01 - $500,000: 0.9% $500,000.01 - $750,000: 0.8% $750,000.01 - $1,000,000: 0.7% $1,000,000.01 - and greater: 0.6%
Associated persons may earn commissions on sale of insurance products
$250.00 per hour for financial consulting services
Account minimum: $500,000 Minimum fee: $4,500 minimum annual fee Fee-only: Fee-only investment management, no commissions on securities sales
Main office location
Aquarius Financial
Santa Fe NM, United States
Number of offices
1
Most active in
Aquarius Financial has reported serving >5 clients in these states in the last 12 months.
California · New Mexico
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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