Austin Private Wealth

Yes. As a registered investment advisor, the firm is regulated under the Investment Advisers Act of 1940 and owes a fiduciary duty to its clients. This means it must place client interests ahead of its own, disclose conflicts, and seek best execution on trades.

The firm's compensation model is typical of an independent RIA: asset-based fees calculated as a percentage of assets under management. Some planning services may be billed on a fixed or hourly basis. The specific fee schedule is disclosed in the firm's Form ADV Part 2, a public document filed with the SEC.

The firm is regulated by the US Securities and Exchange Commission or the Texas State Securities Board, depending on its regulatory assets under management. RIA registration information, including any disciplinary history, is publicly searchable through the SEC's Investment Adviser Public Disclosure website.

The firm serves high-net-worth individuals, families, trusts, and potentially small institutions. Its Austin location suggests a client base that may include technology executives, entrepreneurs, and professionals concentrated in Central Texas's growing economy.

No. As an independent RIA, Austin Private Wealth does not custody assets itself. Client funds and securities are held at a qualified third-party custodian—such as Charles Schwab or Fidelity—providing an additional layer of investor protection through segregation of advisory and custodial functions.