Welcome to our dedicated page for PRESTIGE WEALTH SEC filings (Ticker: PWM), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The SEC filings associated with the historical Nasdaq ticker PWM provide detailed regulatory and financial information about Prestige Wealth Inc. during its evolution into Aurelion Inc. (Nasdaq: AURE). As a foreign private issuer, the company reports on Form 20-F and frequently uses Form 6-K to furnish interim financial statements, transaction updates, and corporate governance changes.
Several Form 6-K filings present unaudited interim condensed consolidated financial statements for six-month periods, including net revenues from wealth management and asset management services, operating costs and expenses, and resulting income or loss. These filings also include balance sheet and cash flow data, along with discussions of recent accounting pronouncements affecting segment reporting, income tax disclosures, and expense disaggregation.
Other 6-K reports describe capital-raising transactions, such as private placements of Class A ordinary shares and warrants, and a larger PIPE financing involving Class A and Class B ordinary shares, pre-funded warrants, and ordinary warrants. The filings identify key investors, including Antalpha Capital and Kiara Capital, and state that net proceeds are intended to fund purchases of Tether Gold (XAU₮) and support working capital and general corporate purposes. Related exhibits include forms of subscription agreements, warrants, and loan agreements.
Filings also document strategic and structural changes. One 6-K reports the divestiture of subsidiaries operating asset management business to allow a focus on technology-driven innovation in wealth management. Others describe acquisitions of SPW Global Inc. and Wealth AI PTE LTD, InnoSphere Tech Inc., and Tokyo Bay Management Inc., with accompanying pro forma financial information and audited financial statements of acquired entities. Additional reports cover the initiation of Nasdaq’s first Tether Gold (XAU₮) treasury, a term loan secured by XAU₮, and the transition to a Tether Gold real-world asset and treasury business.
Corporate governance and listing matters are also addressed. Certain 6-K filings outline changes in the board of directors and executive roles, director and indemnification agreements, and reconstitution of the compensation committee. Others reference Nasdaq notifications regarding minimum bid price compliance and subsequent confirmation that the company regained compliance. A key filing notes that the company’s Class A ordinary shares began trading under the new ticker AURE and that press releases regarding the Tether Gold strategy and financing were furnished as exhibits.
On Stock Titan’s SEC filings page for PWM, users can access these documents with AI-powered summaries that highlight the main points of lengthy reports, including capital structure changes, treasury strategy, and segment disclosures. Real-time updates from EDGAR, along with AI explanations of annual and interim reports and visibility into equity and warrant issuances, help investors and analysts understand the historical regulatory record of Prestige Wealth Inc. as it transformed into Aurelion Inc.
Prestige Wealth Inc. announced board and committee changes and scheduled shareholder meetings. Wei Gao resigned from the board on October 29, 2025, and Jackie Qiang You was appointed as an independent director.
The Company entered a one‑year Director Agreement with Ms. You under which she will serve on the board and applicable committees and receive reimbursement of reasonable expenses. An Indemnification Agreement provides coverage to the fullest extent permitted by law, with customary exclusions.
The compensation committee was reconstituted: Adam (Xin) He, H. David Sherman, and Junlin Bai resigned; Moore Jin Xin and Jackie Qiang You were appointed, with Moore Jin Xin as chairman. A general meeting of Class B holders and an extraordinary general meeting of shareholders will be held on November 20, 2025, with related proxy materials furnished as exhibits.
Prestige Wealth Inc. filed a Form F-3 to register the resale of up to 388,543,241 Class A Ordinary Shares, plus up to 70,833,335 Series A-1 Warrants and up to 70,833,335 Series A-2 Warrants, by selling shareholders. The company will not receive proceeds from these sales.
The Series A-1 Warrants carry a $0.47 exercise price and the Series A-2 Warrants carry a $0.54 exercise price, each exercisable until the third anniversary; a cashless exercise is available after six months if a resale registration is not effective. Lock-up agreements include six months for certain holders and three months for others following effectiveness. The Class A shares trade on Nasdaq as “AURE”; the closing price was $0.6134 on October 16, 2025.
The prospectus also highlights a new XAUt gold-backed digital asset treasury strategy tied to recent financing, including a $134 million purchase of XAUt at an average price of $4,021.81 per XAUt.
Prestige Wealth Inc. reported that, effective on October 13, 2025, its Class A ordinary shares began trading on NASDAQ under the new ticker AURE. The company also noted that on October 14, 2025 it issued two press releases, which are incorporated by reference.
The press releases are titled: “Prestige Wealth Inc. (NASDAQ: AURE) Completes $134 million Purchase of Tether Gold (XAU₮)” and “Prestige Wealth Inc. Signs and Closes Approx. $150 million Financing for Aurelion Treasury Initiating NASDAQ’s First Tether Gold Treasury.” These titles indicate the subjects and magnitudes addressed in the company’s communications.
Prestige Wealth Inc. reported completion of a PIPE financing that triggered termination of several legacy warrants and filed multiple subscription and transaction agreements. Specifically, the company terminated Series C and Series D ordinary warrants each exercisable into 24,456,522 Class A Shares issued under an April 19, 2025 PIPE agreement, plus warrants to purchase 2,625,000 Class A Shares tied to the InnoSphere Tech Inc. acquisition and 1,875,000 Class A Shares tied to the Tokyo Bay Management Inc. acquisition. The filing also attaches forms of new warrants (Series A‑1, A‑2, B‑1, B‑2, Pre‑Funded, Primary), sample director/officer/consulting agreements, a Primary and Class A/B PIPE Subscription Agreement dated
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