Thomas A. Hughes

ONE WEALTH CAPITAL MANAGEMENT

SCOTTSDALE, AZ 85251

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CRD#: 4798877

Professional summary

Thomas Andrew Hughes is a registered financial advisor currently at ONE WEALTH CAPITAL MANAGEMENT, LLC located in Scottsdale, Arizona.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Thomas has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Andrew Hughes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 24, 2024 - Present

ONE WEALTH CAPITAL MANAGEMENT, LLC

Office #1: 4900 North Scottsdale Road Suite 4900, Scottsdale, AZ 85251

RIA

CRD#: 331395

SCOTTSDALE, AZ

Past

September 6, 2023 - July 30, 2024

ONE WEALTH INVESTORS

RIA

CRD#: 288030

Phoenix, AZ

Past

February 29, 2020 - June 30, 2023

PARK AVENUE SECURITIES LLC

CRD#: 46173

PHOENIX, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ONE WEALTH CAPITAL MANAGEMENT, LLC

CRD#: 331395 / SEC#: 801-130300

RIA

Registered Investment Advisory firm - (5/16/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(6/20/2024)

IAR

California
(5/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/24/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/29/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/7/2019

Securities Industry Essentials Examination

Current Firm

ONE WEALTH CAPITAL MANAGEMENT, LLC

CRD#: 331395 / SEC#: 801-130300

RIA

Registered Investment Advisory firm - (5/16/2024 Approved)

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Contact information

Main Address

4900 North Scottsdale Road Suite 4900, Scottsdale, AZ 85251

Mailing Address

Phone number

(855) 663-9584

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (5/1/2025)

Regulatory assets under management

Total Number of Accounts	532
AUM (Assets Under Management)	$ 270,773,625

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas A. Hughes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Andrew Hughes's CRS (Customer Relationship Summary).

Certified licenses

Experience

ONE WEALTH CAPITAL MANAGEMENT, LLC

ONE WEALTH INVESTORS

PARK AVENUE SECURITIES LLC

Primary Firm SEC Registration

ONE WEALTH CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/2020

Series 7TO

Date: 2/29/2020

SIE

Date: 9/7/2019

Current Firm

ONE WEALTH CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ONE WEALTH CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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