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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

SONORA INVESTMENT MANAGEMENT LLC

CRD 106538

TUCSON, AZ

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:c8542a51-aeb0-d79d-8abb-a020537b3a26

Data as of Mar 16, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Mar 16, 2021
57 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.3BItem 5.F on the latest filing (2021-03-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
Private client RAUM: $1.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees: 8
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 2,536
Individual clients: 917
High net worth clients: 422
Custody, client assets: $1.6B
SEC number: 801-31791
CRD: 106538
Filings on the tape: 57
First filed: Mar 30, 2012
Latest filed: Mar 16, 2021
Organised: Limited Liability Company, Arizona

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
ALEXANDER, SARA, SUZANN	CHIEF COMPLIANCE OFFICER	Na	yes	06/2015	Jun 5, 2015	Mar 16, 2021
ARKO, MICHAEL, H	Member	B	yes	01/2017	Feb 15, 2017	Mar 16, 2021
GAINES, LUDWELL, GRAHAM	Member	B	yes	01/2017	Feb 15, 2017	Mar 16, 2021
ROGERS, DOUGLAS, R.	Member	B	yes	08/1986	Mar 30, 2012	Mar 16, 2021
TOLAND,, HUGH, BRADLEY	Member	B	yes	08/1986	Mar 30, 2012	Mar 16, 2021
WILCOX, TIMOTHY, DUANE	Member	B	yes	01/2007	Mar 30, 2012	Mar 16, 2021

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Phoenix	Az	United States	4	no

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
2020	Mar 16, 2021	$1.3B	$1.3B	13	8	1	n/a	n/a
2019	Feb 12, 2020	$1.2B	$1.2B	13	7	1	n/a	n/a
2018	Mar 15, 2019	$783M	$773M	12	7	1	n/a	n/a
2017	Feb 21, 2018	$693M	$670M	10	7	1	n/a	n/a
2016	Feb 15, 2017	$568M	$553M	10	8	n/a	n/a	n/a
2015	Mar 15, 2016	$402M	$402M	8	5	n/a	n/a	n/a
2014	Mar 26, 2015	$325M	$325M	7	5	n/a	n/a	n/a
2013	Apr 1, 2014	$252M	$252M	8	5	n/a	n/a	n/a
2012	Mar 27, 2013	$207M	$207M	8	5	n/a	n/a	n/a
2011	Mar 30, 2012	$180M	$180M	n/a	n/a	n/a	n/a	n/a

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
2020	$1.3B	$1.2B	14.8%	$693M	24.9%	13	13	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SONORA INVESTMENT MANAGEMENT	9	Oct 1, 2021	Sep 20, 2022	TUCSON, AZ	Firm absorbed	RIA to new firm	100.0%

Relationships

Controls (6)

← GAINES, LUDWELL, GRAHAMOwnerMEMBER, ownership code B, individual
Feb 15, 2017 to presentfactForm ADV
← WILCOX, TIMOTHY, DUANEOwnerMEMBER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← ROGERS, DOUGLAS, R.OwnerMEMBER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← ALEXANDER, SARA, SUZANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 5, 2015 to presentfactForm ADV
← ARKO, MICHAEL, HOwnerMEMBER, ownership code B, individual
Feb 15, 2017 to presentfactForm ADV
← TOLAND,, HUGH, BRADLEYOwnerMEMBER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV

Moved with (1)

→ SONORA INVESTMENT MANAGEMENTRegistered adviser9 advisors, firm absorbed, same day
Oct 1, 2021 to Sep 20, 2022factForm ADV

Registered with (9)

← LUDWELL GRAHAM GAINESAdvisorregistration: previous registration
Aug 2, 2017 to Oct 1, 2021factForm ADV
← TIMOTHY DUANE WILCOXAdvisorregistration: previous registration
Jun 26, 2017 to Oct 1, 2021factForm ADV
← DOUGLAS R. ROGERSAdvisorregistration: previous registration
Jul 19, 2017 to Oct 1, 2021factForm ADV
← SARA SUZANN ALEXANDERAdvisorregistration: previous registration
May 2, 2016 to Oct 1, 2021factForm ADV
← MICHAEL H ARKOAdvisorregistration: previous registration
Feb 10, 2012 to Oct 1, 2021factForm ADV
← RYAN M GARGOLAdvisorregistration: previous registration
Jun 1, 2018 to Oct 1, 2021factForm ADV
← Noah S PutnamAdvisorregistration: previous registration
Jun 27, 2016 to Oct 1, 2021factForm ADV
← ALEX W NIELSENAdvisorregistration: previous registration
Apr 6, 2021 to Oct 1, 2021factForm ADV
← HUGH BRADLEY TOLANDAdvisorregistration: previous registration
Jul 14, 2017 to Oct 1, 2021factForm ADV

Dated events

Occurred
Feb 12, 2020
Regulatory AUM changed
Sonora Investment Management Llc reported RAUM $1.2B, up 50% from $782.5M (2019-12-13 to 2020-02-12)
Form ADVobserved 5 days ago
$393M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c8542a51-aeb0-d79d-8abb-a020537b3a26
First observed: Mar 30, 2012
Last observed: Mar 16, 2021 67 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.

SONORA INVESTMENT MANAGEMENT LLC

CRD 106538

TUCSON, AZ

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:c8542a51-aeb0-d79d-8abb-a020537b3a26

Data as of Mar 16, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:30 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALEXANDER, SARA, SUZANN

CHIEF COMPLIANCE OFFICER

yes

06/2015

Jun 5, 2015

Mar 16, 2021

ARKO, MICHAEL, H

Member

yes

01/2017

Feb 15, 2017

Mar 16, 2021

GAINES, LUDWELL, GRAHAM

Member

yes

01/2017

Feb 15, 2017

Mar 16, 2021

ROGERS, DOUGLAS, R.

Member

yes

08/1986

Mar 30, 2012

Mar 16, 2021

TOLAND,, HUGH, BRADLEY

Member

yes

08/1986

Mar 30, 2012

Mar 16, 2021

WILCOX, TIMOTHY, DUANE

Member

yes

01/2007

Mar 30, 2012

Mar 16, 2021

City

State

Country

Employees

Also broker-dealer

Phoenix

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 16, 2021

$1.3B

n/a

2019

Feb 12, 2020

$1.2B

n/a

2018

Mar 15, 2019

$783M

$773M

n/a

2017

Feb 21, 2018

$693M

$670M

n/a

2016

Feb 15, 2017

$568M

$553M

n/a

2015

Mar 15, 2016

$402M

n/a

2014

Mar 26, 2015

$325M

n/a

2013

Apr 1, 2014

$252M

n/a

2012

Mar 27, 2013

$207M

n/a

2011

Mar 30, 2012

$180M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$1.3B

$1.2B

14.8%

$693M

24.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SONORA INVESTMENT MANAGEMENT

Oct 1, 2021

Sep 20, 2022

TUCSON, AZ

Firm absorbed

RIA to new firm

100.0%