Arena Advisors LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Arena Advisors LLC provides financial planning and investment management services to individuals, high‑net‑worth clients, and business entities. The firm operates as the portfolio manager and sponsor of a wrap fee program, offers written financial plans, and conducts educational seminars and workshops open to clients and the public; it reports no account minimum and had approximately $185,000 in assets under management.
The firm’s investment process emphasizes ETFs and uses a mix of fundamental analysis, modern portfolio theory, and technical analysis to construct portfolios. Portfolio strategies include long‑term trading and options strategies (including covered and uncovered positions), and AAL generally implements investment management through its wrap fee program rather than on non‑wrap accounts.
What distinguishes the firm from many peers is its role as a wrap fee program sponsor despite its small scale, together with the provision of free public seminars and workshops. The firm also requires custody with a specified qualified custodian (Axos Clearing LLC) for accounts in its wrap program and discloses the potential to receive research or other services from custodians or broker‑dealers.
Client services
Expertise
Fee options
1.50% annually
Minimum fee: Financial planning fixed fees range from $250 to $5,000 Fee-only: Fixed fee for financial planning services between $250 and $5,000
Main office
San Jose CA
Advisors at this office
1
Most active in
California · Colorado
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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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.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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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.
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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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