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.

Former SEC-registered adviser

Solano Wealth Management, Inc.

Former SEC-registered adviserFairfield, CaliforniaCRD 168720SEC 801-110665IAPD
Latest filing Mar 15, 2024
First filing on the tape May 18, 2017 · 23 filings
RAUM
$322M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$321M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$322M as of Mar 15, 2024
Mar 15, 2018$141M then
HNW client RAUM$205M as of Mar 15, 2024
Mar 15, 2018$43.9M then
State-registered IARs (5.B.3)4 as of Mar 15, 2024
Mar 15, 20184 then
Employees (5.A)8 as of Mar 15, 2024
Mar 15, 20186 then
Private funds: no history
RAUM +22% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 15, 2024; every figure names its basis
RAUM per advisor
$80.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
138derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$383,188derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+14%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
$322MreportedItem 5.I
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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$205M64%
  • Individuals$116M36%
  • Charitable organizations$1.2M0.4%
Individual clients
436reported
HNW clients
117reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
841reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Theodore Rufus Williams · Chief Compliance Officer And Presidentcontrol
      since 01/2002 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Fairfield, Ca · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 493 to 841
      Mar 29, 2023 to Mar 15, 2024
    • Advisory activities · 3 to 1
      Mar 29, 2023 to Mar 15, 2024
    • HNW clients · 93 to 117
      Mar 29, 2023 to Mar 15, 2024
    • Individual clients · 393 to 436
      Mar 29, 2023 to Mar 15, 2024
    • Employees · 7 to 8
      Mar 29, 2023 to Mar 15, 2024
    • Financial planning clients · 0 to unset
      Mar 29, 2023 to Mar 15, 2024
    • Discretionary RAUM · $263M to $322M
      Mar 29, 2023 to Mar 15, 2024
    • HNW RAUM · $154M to $205M
      Mar 29, 2023 to Mar 15, 2024
    • Individual RAUM · $105M to $116M
      Mar 29, 2023 to Mar 15, 2024
    • Pension RAUM · 379156.0 to unset
      Mar 29, 2023 to Mar 15, 2024
    • RAUM · $263M to $322M
      Mar 29, 2023 to Mar 15, 2024
    • Accounts · 632 to 493
      Mar 4, 2022 to Mar 29, 2023
    • HNW clients · 99 to 93
      Mar 4, 2022 to Mar 29, 2023
    • Individual clients · 533 to 393
      Mar 4, 2022 to Mar 29, 2023
    • Employees · 4 to 7
      Mar 4, 2022 to Mar 29, 2023
    • Discretionary RAUM · $287M to $263M
      Mar 4, 2022 to Mar 29, 2023
    • HNW RAUM · $160M to $154M
      Mar 4, 2022 to Mar 29, 2023
    • Individual RAUM · $126M to $105M
      Mar 4, 2022 to Mar 29, 2023
    • Pension RAUM · unset to 379156.0
      Mar 4, 2022 to Mar 29, 2023
    • RAUM · $287M to $263M
      Mar 4, 2022 to Mar 29, 2023
    • Accounts · 479 to 632
      May 28, 2021 to Mar 1, 2022
    • Advisory employees · 3 to 4
      May 28, 2021 to Mar 1, 2022
    • BD registered reps · 3 to 4
      May 28, 2021 to Mar 1, 2022
    • HNW clients · 108 to 99
      May 28, 2021 to Mar 1, 2022
    • Individual clients · 288 to 533
      May 28, 2021 to Mar 1, 2022
    • Employees · 5 to 4
      May 28, 2021 to Mar 1, 2022
    • State-registered IARs · 3 to 4
      May 28, 2021 to Mar 1, 2022
    • Discretionary RAUM · $234M to $287M
      May 28, 2021 to Mar 1, 2022
    • HNW RAUM · $147M to $160M
      May 28, 2021 to Mar 1, 2022
    • Individual RAUM · $87.4M to $126M
      May 28, 2021 to Mar 1, 2022
    • RAUM · $234M to $287M
      May 28, 2021 to Mar 1, 2022
    • Accounts · 427 to 479
      Sep 29, 2020 to Feb 23, 2021
    • Advisory employees · 4 to 3
      Sep 29, 2020 to Feb 23, 2021
    • Advisory activities · 4 to 3
      Sep 29, 2020 to Feb 23, 2021
    • BD registered reps · 4 to 3
      Sep 29, 2020 to Feb 23, 2021
    • HNW clients · 53 to 108
      Sep 29, 2020 to Feb 23, 2021
    • Individual clients · 373 to 288
      Sep 29, 2020 to Feb 23, 2021
    • Employees · 6 to 5
      Sep 29, 2020 to Feb 23, 2021
    • State-registered IARs · 4 to 3
      Sep 29, 2020 to Feb 23, 2021
    • Discretionary RAUM · $199M to $234M
      Sep 29, 2020 to Feb 23, 2021
    Signals
    5 dated events
    • Francisco Javier Guerra left Solano Wealth Management, Inc. for Solano Wealth Advisors (registered 2024-07-01)
      Aug 20, 2024 · Advisor changed firm · fact
    • Frank Linn Holloway left Solano Wealth Management, Inc. for Solano Wealth Advisors (registered 2024-07-01)
      Aug 20, 2024 · Advisor changed firm · fact
    • Carlos Romero Mendoza left Solano Wealth Management, Inc. for Solano Wealth Advisors (registered 2024-07-01)
      Aug 20, 2024 · Advisor changed firm · fact
    • Solano Wealth Management, Inc.'s advisors moved to Solano Wealth Advisors (Fairfield, CA): 3 of 3 registered, on the same day
      Aug 20, 2024 · Firm absorbed (people side) · derived
    • Solano Wealth Management, Inc. filed its initial SEC registration (Form ADV)
      May 18, 2017 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026