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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

ADAMS ASHBY FINANCIAL ADVISORS

AF ADVISORS, INC., CRD 149683

SACRAMENTO, 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:5830db80-b771-b633-6bcd-d8f9f699ce6d

Data as of Mar 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Sep 14, 2018 to Mar 16, 2026
14 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=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $480MItem 5.F on the latest filing (2026-03-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $479M
Private client RAUM: $475MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $240Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 102
Individual clients: 12
High net worth clients: 28
Custody, client assets: $429M
SEC number: 801-114137
CIK: 1818044
CRD: 149683
Filings on the tape: 14
First filed: Sep 14, 2018
Latest filed: Mar 16, 2026
Organised: Corporation, CA
Website: adamsashby.com

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
NINA ENGINEER ADAMS	n/a	Sacramento, CA	0	35	2	no
JEFFREY SHERBURNE ADAMS	Certified Financial Planner	Sacramento, CA	0	30	2	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
ADAMS, JEFFREY, SHERBURNE	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	04/2009	Sep 14, 2018	Mar 21, 2024
ADAMS, NINA, ENGINEER	OWNER AND INVESTMENT ADVISER REPRESENTATIVE	B	no	03/2010	Sep 14, 2018	Mar 21, 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 16, 2026	$480M	$479M	2	2	1	n/a	n/a
2024	Mar 11, 2025	$737M	$737M	2	2	1	n/a	n/a
2023	Mar 21, 2024	$443M	$442M	2	2	0	n/a	n/a
2022	Mar 6, 2023	$236M	$236M	2	2	0	n/a	n/a
2021	Mar 9, 2022	$187M	$187M	2	2	0	n/a	n/a
2020	Mar 16, 2021	$215M	$214M	2	2	0	n/a	n/a
2019	Feb 28, 2020	$165M	$165M	2	2	0	n/a	n/a
2018	Jan 25, 2019	$90.6M	$90.6M	2	2	0	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
2	0	2	0.0%	0	0	0	2	0

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	$480M	$737M	-34.9%	$236M	26.6%	2	2	1	1

Relationships

Registered with (3)

← JEFFREY SHERBURNE ADAMSAdvisorregistration: current employment
Nov 19, 2025 to presentfactForm ADV
← NINA ENGINEER ADAMSAdvisorregistration: current employment
Nov 12, 2025 to presentfactForm ADV
← PETER J ASHBYAdvisorregistration: previous registration
Apr 20, 2009 to Oct 28, 2016factForm ADV

Owns (1)

← ADAMS, NINA, ENGINEEROwnerOWNER AND INVESTMENT ADVISER REPRESENTATIVE, ownership code B, individual
Sep 14, 2018 to Mar 21, 2024factForm ADV

Controls (1)

← ADAMS, JEFFREY, SHERBURNEOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Sep 14, 2018 to Mar 21, 2024factForm ADV

Dated events

Occurred
Mar 16, 2026
Regulatory AUM changed
Adams Ashby Financial Advisors reported RAUM $479.8M, down 35% from $737.1M (2025-03-11 to 2026-03-16)
Form ADVobserved 4 days ago
$-257M
Occurred
Mar 11, 2025
Regulatory AUM changed
Adams Ashby Financial Advisors reported RAUM $737.1M, up 67% from $442.5M (2024-03-21 to 2025-03-11)
Form ADVobserved 4 days ago
$295M
Occurred
Mar 21, 2024
Regulatory AUM changed
Adams Ashby Financial Advisors reported RAUM $442.5M, up 87% from $236.3M (2023-03-06 to 2024-03-21)
Form ADVobserved 4 days ago
$206M
Occurred
Sep 14, 2018
First Form ADV filing
Adams Ashby Financial Advisors filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5830db80-b771-b633-6bcd-d8f9f699ce6d
First observed: Sep 14, 2018
Last observed: Mar 16, 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.

ADAMS ASHBY FINANCIAL ADVISORS

AF ADVISORS, INC., CRD 149683

SACRAMENTO, 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:5830db80-b771-b633-6bcd-d8f9f699ce6d

Data as of Mar 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:47 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

NINA ENGINEER ADAMS

n/a

Sacramento, CA

JEFFREY SHERBURNE ADAMS

Certified Financial Planner

Sacramento, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ADAMS, JEFFREY, SHERBURNE

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

04/2009

Sep 14, 2018

Mar 21, 2024

ADAMS, NINA, ENGINEER

OWNER AND INVESTMENT ADVISER REPRESENTATIVE

03/2010

Sep 14, 2018

Mar 21, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 16, 2026

$480M

$479M

n/a

2024

Mar 11, 2025

$737M

n/a

2023

Mar 21, 2024

$443M

$442M

n/a

2022

Mar 6, 2023

$236M

n/a

2021

Mar 9, 2022

$187M

n/a

2020

Mar 16, 2021

$215M

$214M

n/a

2019

Feb 28, 2020

$165M

n/a

2018

Jan 25, 2019

$90.6M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$480M

$737M

-34.9%

$236M

26.6%