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.
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SEC-registered adviser
S••••• W••• A•••••••
Legal name S••••• W••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 7, 2012 · 9 filings
SEC status approved since Mar 29, 2023
RAUM
$256M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
84%
$215M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$256M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$256M as of Mar 27, 2026
Mar 7, 2012$63.0M then
HNW client RAUM$215M as of Mar 27, 2026
Mar 28, 2024$195M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 7, 20120 then
Employees (5.A)1 as of Mar 27, 2026
Mar 28, 20241 then
Private funds: no history
RAUM -4.9% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $256MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$215M84%
- Corporations and businesses$33.8M13%
- Charitable organizations$6.8M2.7%
- Individual clients
- n/areported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 167reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••• E••••• M••••• | Santa Rosa, Ca | Oct 3, 2025 | 22 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- N••• E••••• M••••• from P•••••• C••••••••• G••••• I•••Oct 3, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• N•••• E••••• · Principal, Chief Executive Officer, And Chief Compliance Officercontrolsince 11/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 158 to 167Sep 1, 2025 to Mar 27, 2026
- Discretionary RAUM · $219M to $222MSep 1, 2025 to Mar 27, 2026
- HNW RAUM · $213M to $215MSep 1, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $46.2M to $33.8MSep 1, 2025 to Mar 27, 2026
- RAUM · $265M to $256MSep 1, 2025 to Mar 27, 2026
- Accounts · 160 to 158Mar 31, 2025 to Sep 1, 2025
- Advisory activities · 5 to 3Mar 31, 2025 to Sep 1, 2025
- Business name · D•• G•••• L•• to S••••• W••• A•••••••Mar 31, 2025 to Sep 1, 2025
- Corporate clients · unset to 2.0Mar 31, 2025 to Sep 1, 2025
- Pooled vehicle clients · 2.0 to unsetMar 31, 2025 to Sep 1, 2025
- Discretionary RAUM · $218M to $219MMar 31, 2025 to Sep 1, 2025
- HNW RAUM · $212M to $213MMar 31, 2025 to Sep 1, 2025
- Non-discretionary RAUM · $51.4M to $46.2MMar 31, 2025 to Sep 1, 2025
- Pooled vehicle RAUM · 51389657.0 to unsetMar 31, 2025 to Sep 1, 2025
- RAUM · $269M to $265MMar 31, 2025 to Sep 1, 2025
- Accounts · 149 to 160Mar 28, 2024 to Mar 31, 2025
- HNW clients · 52 to 57Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Mar 28, 2024 to Mar 31, 2025
- HQ city · unset to Mar 28, 2024 to Mar 31, 2025
- HQ state · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $201M to $218MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $195M to $212MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $45.6M to $51.4MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $45.6M to $51.4MMar 28, 2024 to Mar 31, 2025
- RAUM · $246M to $269MMar 28, 2024 to Mar 31, 2025
- Accounts · 123 to 149Feb 27, 2023 to Mar 28, 2024
- HNW clients · 56 to 52Feb 27, 2023 to Mar 28, 2024
- Pooled vehicle clients · 1 to 2Feb 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $154M to $201MFeb 27, 2023 to Mar 28, 2024
- HNW RAUM · $149M to $195MFeb 27, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $6.1M to $45.6MFeb 27, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $6.1M to $45.6MFeb 27, 2023 to Mar 28, 2024
- RAUM · $161M to $246MFeb 27, 2023 to Mar 28, 2024
- Accounts · 46 to 123May 11, 2012 to Feb 27, 2023
- Advisory employees · unset to 1.0May 11, 2012 to Feb 27, 2023
- Charity clients · unset to 1.0May 11, 2012 to Feb 27, 2023
- HNW clients · unset to 56.0May 11, 2012 to Feb 27, 2023
- Pooled vehicle clients · unset to 1.0May 11, 2012 to Feb 27, 2023
- Employees · unset to 1.0May 11, 2012 to Feb 27, 2023
- HQ city · MILL VALLEY to unsetMay 11, 2012 to Feb 27, 2023
Signals
1 dated events
- D•• G•••• L•• filed its initial SEC registration (Form ADV)Feb 27, 2023 · 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
- Website
- sonomawestadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415 497-7533reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- sonomawestadvisors.com/contactreportedpublished 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
- $256Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026