DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Sierra Pacific Private Wealth, LLC
Latest filing Feb 23, 2026
First filing on the tape Mar 16, 2022 · 11 filings
SEC status approved since Nov 28, 2022
RAUM
$246M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$237M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$82.0M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$246M as of Feb 23, 2026
Mar 2, 2023$127M then
HNW client RAUM$225M as of Feb 23, 2026
Mar 2, 2023$103M then
State-registered IARs (5.B.3)3 as of Feb 23, 2026
Mar 2, 20232 then
Employees (5.A)7 as of Feb 23, 2026
Mar 2, 20234 then
Private funds: no history
RAUM +16% over the last fiscal year+25% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $82.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $898,147derivedHNW RAUM over HNW clients
- Average account
- $836,395derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +138%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $52.0M, 27 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$225M92%
- Individuals$11.6M4.7%
- Pension and profit-sharing plans$8.9M3.6%
- Individual clients
- 39reported
- HNW clients
- 251reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 294reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.0M for 27 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jacob Andrew Rodriguez | Pleasanton, Ca | Oct 22, 2025 | 11 y | 0 |
| Tu Thien NguyenCertified Financial Planner | Pleasanton, Ca | Nov 12, 2025 | 11 y | 2 |
| Zheng WanCertified Financial Planner | Pleasanton, Ca | Jan 1, 2026 | 24 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount4 left over 36 months
Left, latest
- Jessi Hawk to Hawk Capital Wealth Management LLCMay 14, 2025 · RIA to a state-registered adviser
- Yun Cho Messina to Rockefeller Capital ManagementMar 20, 2025 · RIA to affiliated broker-dealer or bank
- Karl Gregory Salocks to Destination Wealth ManagementJan 3, 2025 · RIA to RIA
- Daniel Thomas Goodman to Wealth Enhancement Advisory Services, LLCJun 24, 2024 · RIA to RIA
- Parker James O'Sullivan to FartherApr 19, 2022 · RIA to RIA
- Lindy Chan to Centric Advisors, LLCFeb 28, 2020 · RIA to RIA
Joined, latest
- Zheng Wan from Freed AdvisorsJan 1, 2026 · Other
- Tu Thien Nguyen from Dae Wealth ManagementNov 12, 2025 · Other
- Jessi Hawk from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 16, 2025 · Wirehouse to independent RIA
- Karl Gregory Salocks from Morgan StanleySep 23, 2024 · Wirehouse to independent RIA
- Parker James O'Sullivan from Insight Wealth Strategies, LLCAug 4, 2020 · RIA to RIA
- Lindy Chan from Wells Fargo AdvisorsSep 19, 2018 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Zheng Wan · Principal, Chief Compliance Officercontrolsince 01/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pleasanton, Ca · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Cupertino, CA2 employees
- Oakland, CA2 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 23, 2026custody of client assets (Item 9.A): no on the filing of 2026-01-28, yes on the filing of 2026-02-23peers: independent wealth managers, $100M to $500M (5,676)
- client count surgeChange between filings · filing Feb 23, 2026individual and HNW clients (Item 5.D) moved from 122.0 to 290.0 (+138.0%) between the annual amendments of 2025-03-20 and 2026-02-23; the peer median change was +3.0% (3310 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 99% percentile
- HNW share shiftChange between filings · filing Feb 23, 2026HNW share of RAUM moved from 68.0% to 92.0% between the annual amendments of 2025-03-20 and 2026-02-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 403 to 294Jan 28, 2026 to Feb 23, 2026
- Business name · SIERRA PACIFIC FINANCIAL ADVISORS to SIERRA PACIFIC PRIVATE WEALTH, LLCJan 28, 2026 to Feb 23, 2026
- HNW clients · 80 to 251Jan 28, 2026 to Feb 23, 2026
- Individual clients · 42 to 39Jan 28, 2026 to Feb 23, 2026
- Pension plan clients · 8.0 to unsetJan 28, 2026 to Feb 23, 2026
- Assets in custody · unset to 52000000.0Jan 28, 2026 to Feb 23, 2026
- Custody of client assets · false to trueJan 28, 2026 to Feb 23, 2026
- Employees · 5 to 7Jan 28, 2026 to Feb 23, 2026
- State-registered IARs · 2 to 3Jan 28, 2026 to Feb 23, 2026
- Discretionary RAUM · $201M to $237MJan 28, 2026 to Feb 23, 2026
- HNW RAUM · $145M to $225MJan 28, 2026 to Feb 23, 2026
- Individual RAUM · $39.6M to $11.6MJan 28, 2026 to Feb 23, 2026
- Non-discretionary RAUM · $11.5M to $8.9MJan 28, 2026 to Feb 23, 2026
- Pension RAUM · $28.0M to $8.9MJan 28, 2026 to Feb 23, 2026
- RAUM · $213M to $246MJan 28, 2026 to Feb 23, 2026
- Accounts · 358 to 403Mar 4, 2024 to Mar 20, 2025
- HNW clients · 72 to 80Mar 4, 2024 to Mar 20, 2025
- Individual clients · 43 to 42Mar 4, 2024 to Mar 20, 2025
- Financial planning clients · 11-25 to 11-25Mar 4, 2024 to Mar 20, 2025
- Legal name · SIERRA PACIFIC FINANCIAL ADVISORS, LLC to SIERRA PACIFIC PRIVATE WEALTH, LLCMar 4, 2024 to Mar 20, 2025
- Discretionary RAUM · $155M to $201MMar 4, 2024 to Mar 20, 2025
- HNW RAUM · $132M to $145MMar 4, 2024 to Mar 20, 2025
- Individual RAUM · $18.2M to $39.6MMar 4, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $7.3M to $11.5MMar 4, 2024 to Mar 20, 2025
- Pension RAUM · $12.3M to $28.0MMar 4, 2024 to Mar 20, 2025
- RAUM · $162M to $213MMar 4, 2024 to Mar 20, 2025
- Accounts · 307 to 358Mar 17, 2023 to Mar 4, 2024
- HNW clients · 63 to 72Mar 17, 2023 to Mar 4, 2024
- Individual clients · 40 to 43Mar 17, 2023 to Mar 4, 2024
- Pension plan clients · 5 to 8Mar 17, 2023 to Mar 4, 2024
- Employees · 4 to 5Mar 17, 2023 to Mar 4, 2024
- Financial planning clients · 1-10 to 11-25Mar 17, 2023 to Mar 4, 2024
- Discretionary RAUM · $120M to $155MMar 17, 2023 to Mar 4, 2024
- HNW RAUM · $103M to $132MMar 17, 2023 to Mar 4, 2024
- Individual RAUM · $17.3M to $18.2MMar 17, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $6.4M to $7.3MMar 17, 2023 to Mar 4, 2024
- Pension RAUM · $6.4M to $12.3MMar 17, 2023 to Mar 4, 2024
- RAUM · $127M to $162MMar 17, 2023 to Mar 4, 2024
- Accounts · 307 to 291Mar 2, 2023 to Mar 17, 2023
- HNW clients · 63 to 60Mar 2, 2023 to Mar 17, 2023
Signals
6 dated events
- Jessi Hawk left Sierra Pacific Private Wealth, Llc for Hawk Capital Wealth Management Llc (registered 2026-01-01)May 14, 2025 · Advisor changed firm · fact
- Yun Cho Messina left Sierra Pacific Private Wealth, Llc for Rockefeller Capital Management (registered 2025-03-13)Mar 20, 2025 · Advisor changed firm · fact
- Karl Gregory Salocks left Sierra Pacific Private Wealth, Llc for Destination Wealth Management (registered 2025-03-04)Jan 3, 2025 · Advisor changed firm · fact
- Daniel Thomas Goodman left Sierra Pacific Private Wealth, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-05-28)Jun 24, 2024 · Advisor changed firm · fact
- Parker James O'Sullivan left Sierra Pacific Private Wealth, Llc for Farther (registered 2022-02-25)Apr 19, 2022 · Advisor changed firm · fact
- Sierra Pacific Financial Advisors filed its initial SEC registration (Form ADV)Mar 16, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- clientservice@sierrapacificpw.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- info@sierrapacificpw.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- clientengage@sierrapacificpw.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- associate@sierrapacificpw.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- clientassociate@sierrapacificpw.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-223-8868reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-694-1084reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/sierrapacificprivatewealthreportedpublic record, Form ADV, Sep 17, 2026
- Website
- sierrapacificpw.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 925-223-8868reportedpublic record, Form ADV, Feb 23, 2026
- Team page
- sierrapacificpw.com/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $82.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026