Arena Advisors LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$175,000
Clients
1
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
1
Very LowAverage account size
$175,000
About
The firm provides financial planning and portfolio management to individuals, high‑net‑worth individuals, and business entities, offering both discretionary and non‑discretionary advisory services. Its services include one‑time financial plans, ongoing investment management, and the firm acts as portfolio manager and sponsor for a wrap fee program with a separate wrap brochure for participants.
The firm’s investment approach emphasizes ETFs and combines fundamental analysis, modern portfolio theory, and technical analysis, employing long‑term trading and options strategies (including covered and uncovered options). Client accounts are monitored on an ongoing basis with formal reviews conducted monthly or quarterly, and clients may impose investment restrictions that the firm will accept unless they prevent proper servicing.
Distinctive aspects include operating a sponsored wrap‑fee program—an uncommon offering among similarly categorized independent advisers—and providing free educational seminars and workshops to clients and the general public. The firm operates at a very small scale (reporting $175,000 in assets under management and a single client) and generally requires clients to maintain custody with a specified qualified custodian, which may affect execution, reporting, and operational arrangements relative to peers.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
Options & derivatives strategies
Passive / index investing
Fee options
Between $250 and $5,000 fixed fee for financial planning
1.50% annually
Main office location
Arena Advisors LLC
San Jose CA, United States
Number of offices
1
Most active in
Arena Advisors LLC has reported serving >5 clients in these states in the last 12 months.
California · Colorado
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 not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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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.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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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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