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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

NORTH BERKELEY WEALTH MANAGEMENT, LLC

CRD 136431

BERKELEY, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:35e6430e-f7ed-c057-234b-1ffbb8d2d7de

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 5
On other graphs: 0
Observed: Mar 30, 2012 to Mar 19, 2026
30 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $830MItem 5.F on the latest filing (2026-03-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $807M
Private client RAUM: $805MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $69.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 16
Advisory employees: 11
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,502
Individual clients: 181
High net worth clients: 220
Custody, client assets: $180M
SEC number: 801-64572
CRD: 136431
Filings on the tape: 30
First filed: Mar 30, 2012
Latest filed: Mar 19, 2026
Organised: Limited Liability Company, CA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
KATHERINE CAMPBELL KING	Certified Financial Planner	BERKELEY, CA	12	32	2	no
SAMUEL JAMES WOOD-BEDNARZ	Certified Financial Planner	BERKELEY, CA	11	13	n/a	no
BRIAN Thomas KOZEL	Certified Financial Planner	BERKELEY, CA	10	15	n/a	no
Matthew John Gatt	Certified Financial Planner	BERKELEY, CA	9	10	n/a	no
Daniel Francis Nakahara	n/a	BERKELEY, CA	9	11	n/a	no
JENNIFER ANN REGAN	Certified Financial Planner	Olympia, WA \| BERKELEY, CA	6	10	n/a	no
Ariana Alisjahbana	Certified Financial Planner	BERKELEY, CA	4	9	n/a	no
DEBRA ANNE ELLISEN	n/a	BERKELEY, CA	1	24	n/a	no
Maria Quintana-Pilling	Chartered Financial Analyst	BERKELEY, CA	1	16	n/a	no
STEPHANIE MICHELLE NEHMENS	n/a	BERKELEY, CA	1	14	n/a	no
Kim Berger	n/a	BERKELEY, CA	1	13	n/a	no
Cagatay Koc	n/a	BERKELEY, CA	0	12	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KING, KATHERINE, CAMPBELL	MANAGING MEMBER; CHIEF COMPLIANCE OFFICER	D	yes	07/2005	Mar 30, 2012	Sep 17, 2024
KOZEL, BRIAN, Thomas	MANAGING MEMBER	C	yes	01/2017	Mar 23, 2017	Sep 17, 2024
WOOD-BEDNARZ, SAMUEL, JAMES	MANAGING MEMBER	B	yes	01/2021	Mar 30, 2021	Sep 17, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 19, 2026	$830M	$807M	16	11	1	n/a	n/a
2024	Mar 24, 2025	$711M	$682M	16	8	0	n/a	n/a
2023	Mar 13, 2024	$613M	$602M	15	9	0	n/a	n/a
2022	Mar 20, 2023	$508M	$491M	15	9	0	n/a	n/a
2021	Mar 10, 2022	$576M	$555M	15	9	0	n/a	n/a
2020	Mar 30, 2021	$485M	$468M	13	7	0	n/a	n/a
2019	Jan 28, 2020	$432M	$416M	12	8	2	n/a	n/a
2018	Mar 12, 2019	$319M	$306M	10	6	2	n/a	n/a
2017	Mar 14, 2018	$324M	$311M	12	8	2	n/a	n/a
2016	Mar 23, 2017	$293M	$282M	13	9	n/a	n/a	n/a
2015	Feb 23, 2016	$269M	$260M	14	8	n/a	n/a	n/a
2014	Mar 30, 2015	$288M	$277M	12	6	n/a	n/a	n/a
2013	Mar 27, 2014	$262M	$259M	13	6	n/a	n/a	n/a
2012	Mar 25, 2013	$257M	$251M	10	6	n/a	n/a	n/a
2011	Mar 30, 2012	$247M	$234M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	8.3%	0	0	0	1	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$830M	$711M	16.8%	$508M	17.8%	16	16	1	0

Relationships

Registered with (17)

← Cagatay KocAdvisorregistration: current employment
Jan 20, 2026 to presentfactForm ADV
← Kim BergerAdvisorregistration: current employment
Jul 31, 2025 to presentfactForm ADV
← STEPHANIE MICHELLE NEHMENSAdvisorregistration: current employment
Jun 2, 2025 to presentfactForm ADV
← Maria Quintana-PillingAdvisorregistration: current employment
Feb 3, 2025 to presentfactForm ADV
← DEBRA ANNE ELLISENAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← Ariana AlisjahbanaAdvisorregistration: current employment
Jul 7, 2022 to presentfactForm ADV
← JENNIFER ANN REGANAdvisorregistration: current employment
Oct 31, 2019 to presentfactForm ADV
← Daniel Francis NakaharaAdvisorregistration: current employment
Feb 15, 2017 to presentfactForm ADV
← Matthew John GattAdvisorregistration: current employment
Oct 4, 2016 to presentfactForm ADV
← BRIAN Thomas KOZELAdvisorregistration: current employment
Nov 12, 2015 to presentfactForm ADV
← SAMUEL JAMES WOOD-BEDNARZAdvisorregistration: current employment
Jun 30, 2015 to presentfactForm ADV
← KATHERINE CAMPBELL KINGAdvisorregistration: previous registration
Sep 29, 2005 to Dec 31, 2006factForm ADV
← Daniel Jeremi SmythAdvisorregistration: previous registration
Apr 16, 2020 to Mar 18, 2026factForm ADV
← Carmetta Jernicee JoynerAdvisorregistration: previous registration
Nov 29, 2021 to Oct 8, 2024factForm ADV
← KRYSTAL D FORTNERAdvisorregistration: previous registration
Aug 4, 2021 to May 25, 2023factForm ADV
← SARAH GREENAdvisorregistration: previous registration
Jun 14, 2019 to Nov 29, 2021factForm ADV
← LUKE BENJAMIN NEUMANNAdvisorregistration: previous registration
Jul 1, 2015 to Jan 3, 2018factForm ADV

Controls (3)

← KING, KATHERINE, CAMPBELLOwnerMANAGING MEMBER; CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 30, 2012 to Sep 17, 2024factForm ADV
← KOZEL, BRIAN, ThomasOwnerMANAGING MEMBER, ownership code C, individual
Mar 23, 2017 to Sep 17, 2024factForm ADV
← WOOD-BEDNARZ, SAMUEL, JAMESOwnerMANAGING MEMBER, ownership code B, individual
Mar 30, 2021 to Sep 17, 2024factForm ADV

Dated events

Occurred
Mar 18, 2026
Advisor changed firm
Daniel Jeremi Smyth left North Berkeley Wealth Management, Llc for Mariner (registered 2026-03-17)
Form ADVobserved 5 days ago
Occurred
Oct 8, 2024
Advisor changed firm
Carmetta Jernicee Joyner left North Berkeley Wealth Management, Llc for Joyner Financial Planning Llc (registered 2025-07-09)
Form ADVobserved 5 days ago
Occurred
May 25, 2023
Advisor changed firm
Krystal D Fortner left North Berkeley Wealth Management, Llc for Krystal Fortner (registered 2023-09-25)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2021
Control person joined
James Samuel Wood-Bednarz (Member) appeared on Schedule A of North Berkeley Wealth Management, Llc
Form ADVobserved 5 days ago
Occurred
Jan 28, 2020
Regulatory AUM changed
North Berkeley Wealth Management, Llc reported RAUM $431.8M, up 35% from $318.9M (2020-01-08 to 2020-01-28)
Form ADVobserved 5 days ago
$113M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:35e6430e-f7ed-c057-234b-1ffbb8d2d7de
First observed: Mar 30, 2012
Last observed: Mar 19, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NORTH BERKELEY WEALTH MANAGEMENT, LLC

CRD 136431

BERKELEY, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:35e6430e-f7ed-c057-234b-1ffbb8d2d7de

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KATHERINE CAMPBELL KING

Certified Financial Planner

BERKELEY, CA

SAMUEL JAMES WOOD-BEDNARZ

Certified Financial Planner

BERKELEY, CA

n/a

BRIAN Thomas KOZEL

Certified Financial Planner

BERKELEY, CA

n/a

Matthew John Gatt

Certified Financial Planner

BERKELEY, CA

n/a

Daniel Francis Nakahara

n/a

BERKELEY, CA

n/a

JENNIFER ANN REGAN

Certified Financial Planner

Olympia, WA | BERKELEY, CA

n/a

Ariana Alisjahbana

Certified Financial Planner

BERKELEY, CA

n/a

DEBRA ANNE ELLISEN

n/a

BERKELEY, CA

n/a

Maria Quintana-Pilling

Chartered Financial Analyst

BERKELEY, CA

n/a

STEPHANIE MICHELLE NEHMENS

n/a

BERKELEY, CA

n/a

Kim Berger

n/a

BERKELEY, CA

n/a

Cagatay Koc

n/a

BERKELEY, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KING, KATHERINE, CAMPBELL

MANAGING MEMBER; CHIEF COMPLIANCE OFFICER

yes

07/2005

Mar 30, 2012

Sep 17, 2024

KOZEL, BRIAN, Thomas

MANAGING MEMBER

yes

01/2017

Mar 23, 2017

Sep 17, 2024

WOOD-BEDNARZ, SAMUEL, JAMES

MANAGING MEMBER

yes

01/2021

Mar 30, 2021

Sep 17, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 19, 2026

$830M

$807M

n/a

2024

Mar 24, 2025

$711M

$682M

n/a

2023

Mar 13, 2024

$613M

$602M

n/a

2022

Mar 20, 2023

$508M

$491M

n/a

2021

Mar 10, 2022

$576M

$555M

n/a

2020

Mar 30, 2021

$485M

$468M

n/a

2019

Jan 28, 2020

$432M

$416M

n/a

2018

Mar 12, 2019

$319M

$306M

n/a

2017

Mar 14, 2018

$324M

$311M

n/a

2016

Mar 23, 2017

$293M

$282M

n/a

2015

Feb 23, 2016

$269M

$260M

n/a

2014

Mar 30, 2015

$288M

$277M

n/a

2013

Mar 27, 2014

$262M

$259M

n/a

2012

Mar 25, 2013

$257M

$251M

n/a

2011

Mar 30, 2012

$247M

$234M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

8.3%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$830M

$711M

16.8%

$508M

17.8%