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••••• P•••••• W••••• L••
Latest filing Sep 16, 2026
First filing on the tape Apr 14, 2022 · 11 filings
SEC status approved since May 13, 2022
RAUM
$158M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
97%
$154M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$52.8M
derived; firm RAUM over IAPD count
Employees
6
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$158M as of May 13, 2026
Feb 17, 2023$107M then
HNW client RAUM$139M as of May 13, 2026
Feb 17, 2023$101M then
State-registered IARs (5.B.3)2 as of May 13, 2026
Feb 17, 20232 then
Employees (5.A)6 as of May 13, 2026
Feb 17, 20236 then
Private funds: no history
RAUM +16% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 16, 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
- $52.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 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
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +30%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $48.3M, 41 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$139M88%
- Individuals$15.0M9.5%
- Charitable organizations$4.4M2.7%
- Individual clients
- 34reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 155reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $48.3M for 41 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• C•••••• M••••••••• | Novato, Ca | Apr 15, 2020 | 33 y | 5 |
| S•••• T••••• H••••• | Novato, Ca | Apr 15, 2026 | 30 y | 10 |
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
- S•••• T••••• H••••• from A••••••••• F•••••••• S•••••••• L••Apr 15, 2026 · Affiliated broker-dealer or bank to independent RIA
- R•••••• C•••••• M••••••••• from S•••••• P•••••• W•••••• L••Apr 15, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• R••••••• C•••••• · Managing Member/Chief Compliance Officercontrolsince 03/2020 · 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 |
|---|---|---|---|---|---|
| Novato, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100May 13, 2026 to Sep 16, 2026
- Other offices · 3 to 2May 13, 2026 to Sep 16, 2026
- Related adviser · false to unsetMay 13, 2026 to Sep 16, 2026
- Related bank · false to unsetMay 13, 2026 to Sep 16, 2026
- Related broker-dealer · false to unsetMay 13, 2026 to Sep 16, 2026
- Related insurance company · false to unsetMay 13, 2026 to Sep 16, 2026
- Succession · false to unsetMay 13, 2026 to Sep 16, 2026
- Other offices · 2 to 3Apr 1, 2026 to May 13, 2026
- Accounts · 221 to 155Mar 7, 2025 to Mar 27, 2026
- Advisory activities · 5 to 4Mar 7, 2025 to Mar 27, 2026
- HNW clients · 43 to 49Mar 7, 2025 to Mar 27, 2026
- Individual clients · 21 to 34Mar 7, 2025 to Mar 27, 2026
- Assets in custody · $53.6M to $48.3MMar 7, 2025 to Mar 27, 2026
- Employees · 8 to 6Mar 7, 2025 to Mar 27, 2026
- Financial planning clients · 26-50 to 51-100Mar 7, 2025 to Mar 27, 2026
- HQ city · to NOVATOMar 7, 2025 to Mar 27, 2026
- HQ state · to CAMar 7, 2025 to Mar 27, 2026
- Discretionary RAUM · $98.7M to $137MMar 7, 2025 to Mar 27, 2026
- HNW RAUM · $122M to $139MMar 7, 2025 to Mar 27, 2026
- Individual RAUM · $9.9M to $15.0MMar 7, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $38.1M to $21.8MMar 7, 2025 to Mar 27, 2026
- RAUM · $137M to $158MMar 7, 2025 to Mar 27, 2026
- Accounts · 224 to 221Apr 2, 2024 to Mar 7, 2025
- Advisory employees · 2 to 3Apr 2, 2024 to Mar 7, 2025
- Charity clients · unset to 2.0Apr 2, 2024 to Mar 7, 2025
- HNW clients · 56 to 43Apr 2, 2024 to Mar 7, 2025
- Individual clients · 15 to 21Apr 2, 2024 to Mar 7, 2025
- Assets in custody · $45.8M to $53.6MApr 2, 2024 to Mar 7, 2025
- Financial planning clients · 11-25 to 26-50Apr 2, 2024 to Mar 7, 2025
- HQ city · unset to Apr 2, 2024 to Mar 7, 2025
- HQ state · unset to Apr 2, 2024 to Mar 7, 2025
- Other offices · 0 to 2Apr 2, 2024 to Mar 7, 2025
- Discretionary RAUM · $97.4M to $98.7MApr 2, 2024 to Mar 7, 2025
- HNW RAUM · $143M to $122MApr 2, 2024 to Mar 7, 2025
- Individual RAUM · $1.4M to $9.9MApr 2, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $46.8M to $38.1MApr 2, 2024 to Mar 7, 2025
- RAUM · $144M to $137MApr 2, 2024 to Mar 7, 2025
- Accounts · 243 to 224Nov 9, 2023 to Mar 1, 2024
- Charity clients · 1.0 to unsetNov 9, 2023 to Mar 1, 2024
- HNW clients · 60 to 56Nov 9, 2023 to Mar 1, 2024
Signals
1 dated events
- S••••• P•••••• W••••• L•• filed its initial SEC registration (Form ADV)Apr 14, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• P•••••• W••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- info@sonomaprivatewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-806-0073reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- sonomaprivatewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-806-0073reportedpublic record, Form ADV, 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
- $52.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026