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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

NAPA VALLEY WEALTH MANAGEMENT

NAPA VALLEY WEALTH MANAGEMENT, INC., CRD 121158

ST. HELENA, 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:ff0578c0-bd44-12b1-32c2-0a1f1d3d504e

Data as of Feb 23, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 3
On other graphs: 0
Observed: Mar 27, 2012 to Feb 23, 2022
22 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: $350MItem 5.F on the latest filing (2022-02-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $350M
Private client RAUM: $323MderivedItem 5.D individuals plus high net worth individuals
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 391
Individual clients: 259
High net worth clients: 88
SEC number: 801-62343
CRD: 121158
Filings on the tape: 22
First filed: Mar 27, 2012
Latest filed: Feb 23, 2022
Organised: Corporation, California

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
CRANE, KELLY, FARWELL	Cco	E	yes	03/2016	Mar 27, 2012	Feb 23, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
TRUENOTE INVESTMENT ADVISORS, INC.	n/a	Former SEC adviser	n/a	Y	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
WALNUT CREEK	CA	United States	2	yes

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
2021	Feb 23, 2022	$350M	$350M	5	3	1	n/a	n/a
2020	Mar 31, 2021	$303M	$299M	5	3	1	n/a	n/a
2019	Apr 6, 2020	$261M	$261M	6	4	1	n/a	n/a
2018	Mar 26, 2019	$216M	$216M	6	4	1	n/a	n/a
2017	Mar 28, 2018	$252M	$252M	6	4	1	n/a	n/a
2016	Mar 31, 2017	$214M	$214M	4	4	n/a	n/a	n/a
2015	Mar 31, 2016	$186M	$186M	4	4	n/a	n/a	n/a
2014	Mar 17, 2015	$182M	$182M	4	4	n/a	n/a	n/a
2013	Mar 27, 2014	$186M	$186M	5	5	n/a	n/a	n/a
2012	Mar 26, 2013	$157M	$157M	8	4	n/a	n/a	n/a
2011	Mar 27, 2012	$147M	$147M	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
2021	$350M	$303M	15.5%	$216M	17.4%	5	5	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CETERA ADVISOR NETWORKS LLC	2	Oct 20, 2016	Feb 25, 2022	SAN RAMON, CA	Team lift out	Other	0.4%

Relationships

Affiliated with (2)

← TRUENOTE INVESTMENT ADVISORS, INC.Registered adviserother investment adviser, control, common control
factForm ADV
→ TRUENOTE INVESTMENT ADVISORS, INC.Registered adviserother investment adviser, control, common control
factForm ADV

Controls (1)

← CRANE, KELLY, FARWELLOwnerCCO, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV

Registered with (4)

← KELLY FARWELL CRANEAdvisorregistration: previous registration
Feb 25, 2022 to Jun 17, 2022factForm ADV
← EARL ANTHONY KNECHTAdvisorregistration: previous registration
Feb 25, 2022 to Jun 17, 2022factForm ADV
← ROBERT MAUERAdvisorregistration: previous registration
Feb 25, 2022 to Jun 17, 2022factForm ADV
← BENJAMIN ROSS PETERSAdvisorregistration: previous registration
Oct 29, 2013 to Jun 22, 2016factForm ADV

Moved with (2)

→ WEALTH ENHANCEMENT ADVISORY SERVICES, LLCRegistered adviser2 advisors, team lift out, same day
Jun 17, 2022 to Apr 4, 2022factForm ADV
← CETERA ADVISOR NETWORKS LLCRegistered adviser2 advisors, team lift out, same day
Oct 20, 2016 to Feb 25, 2022factForm ADV

Dated events

Occurred
Jun 17, 2022
Advisor changed firm
Robert Mauer left Napa Valley Wealth Management for Wealth Enhancement Advisory Services, Llc (registered 2022-04-04)
Form ADVobserved 6 days ago
Occurred
Jun 17, 2022
Advisor changed firm
Kelly Farwell Crane left Napa Valley Wealth Management for Wealth Enhancement Advisory Services, Llc (registered 2022-04-04)
Form ADVobserved 6 days ago
Occurred
Jun 17, 2022
Advisor changed firm
Earl Anthony Knecht left Napa Valley Wealth Management for Knecht Capital Management, Llc (registered 2022-04-04)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ff0578c0-bd44-12b1-32c2-0a1f1d3d504e
First observed: Mar 27, 2012
Last observed: Feb 23, 2022 55 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.

NAPA VALLEY WEALTH MANAGEMENT

NAPA VALLEY WEALTH MANAGEMENT, INC., CRD 121158

ST. HELENA, 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:ff0578c0-bd44-12b1-32c2-0a1f1d3d504e

Data as of Feb 23, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:18 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CRANE, KELLY, FARWELL

Cco

yes

03/2016

Mar 27, 2012

Feb 23, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TRUENOTE INVESTMENT ADVISORS, INC.

n/a

Former SEC adviser

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

WALNUT CREEK

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Feb 23, 2022

$350M

n/a

2020

Mar 31, 2021

$303M

$299M

n/a

2019

Apr 6, 2020

$261M

n/a

2018

Mar 26, 2019

$216M

n/a

2017

Mar 28, 2018

$252M

n/a

2016

Mar 31, 2017

$214M

n/a

2015

Mar 31, 2016

$186M

n/a

2014

Mar 17, 2015

$182M

n/a

2013

Mar 27, 2014

$186M

n/a

2012

Mar 26, 2013

$157M

n/a

2011

Mar 27, 2012

$147M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$350M

$303M

15.5%

$216M

17.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CETERA ADVISOR NETWORKS LLC

Oct 20, 2016

Feb 25, 2022

SAN RAMON, CA

Team lift out

Other

0.4%