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
Solano Wealth Advisors
Legal name Solano Wealth Investment Advisors, LLC
Latest filing Feb 9, 2026
First filing on the tape May 31, 2024 · 6 filings
SEC status approved since Jul 1, 2024
RAUM
$332M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$320M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$332M as of Feb 9, 2026
Mar 6, 2025$300M then
HNW client RAUM$249M as of Feb 9, 2026
Mar 6, 2025$220M then
State-registered IARs (5.B.3)3 as of Feb 9, 2026
Mar 6, 20253 then
Employees (5.A)7 as of Feb 9, 2026
Mar 6, 20257 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 9, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 152derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $448,540derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $332MreportedItem 5.I
- Custody
- $336M, 314 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$249M75%
- Individuals$71.0M21%
- Corporations and businesses$10.3M3.1%
- Pension and profit-sharing plans$1.0M0.3%
- Charitable organizations$100,6410.0%
- Individual clients
- 262reported
- HNW clients
- 194reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 740reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $336M for 314 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Carlos Romero MendozaCertified Financial Planner | Fairfield, Ca | Jul 1, 2024 | 24 y | 3 |
| Francisco Javier GuerraCertified Financial Planner | Fairfield, Ca | Jul 1, 2024 | 15 y | 2 |
| Austin David Jones | Fairfield, Ca | Jun 4, 2026 | 15 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 headcount1 left over 36 months
Left, latest
- Frank Linn Holloway to LPL Financial LLCNov 20, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- Austin David Jones from First Command Advisory ServicesJun 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- Frank Linn Holloway from Solano Wealth Management, Inc.Jul 1, 2024 · RIA to a newly registered adviser
- Carlos Romero Mendoza from Solano Wealth Management, Inc.Jul 1, 2024 · RIA to a newly registered adviser
- Francisco Javier Guerra from Solano Wealth Management, Inc.Jul 1, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Solano Wealth Management, Inc.Aug 20, 2024 · Fairfield, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Romero Carlos Mendoza · Chief Executive Officer & Chief Compliance Officercontrolsince 05/2024 · 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 |
|---|---|---|---|---|---|
| Fairfield, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 9, 2026custody of client assets (Item 9.A): no on the filing of 2025-08-12, yes on the filing of 2026-02-09peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Feb 9, 2026pension consulting (Item 5.G.6): no on the filing of 2025-08-12, yes on the filing of 2026-02-09peers: independent wealth managers, $100M to $500M (5,676)
- compensation changedChange between filings · filing Feb 9, 2026hourly charges (Item 5.E.2): no on the filing of 2025-08-12, yes on the filing of 2026-02-09peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 702 to 740Aug 12, 2025 to Feb 9, 2026
- Advisory activities · 3 to 4Aug 12, 2025 to Feb 9, 2026
- Business name · SOLANO WEALTH MANAGEMENT to SOLANO WEALTH ADVISORSAug 12, 2025 to Feb 9, 2026
- HNW clients · 180 to 194Aug 12, 2025 to Feb 9, 2026
- Individual clients · 246 to 262Aug 12, 2025 to Feb 9, 2026
- Assets in custody · unset to 335575796.0Aug 12, 2025 to Feb 9, 2026
- Custody of client assets · false to trueAug 12, 2025 to Feb 9, 2026
- Financial planning clients · 0 to 26-50Aug 12, 2025 to Feb 9, 2026
- Discretionary RAUM · $300M to $332MAug 12, 2025 to Feb 9, 2026
- HNW RAUM · $220M to $249MAug 12, 2025 to Feb 9, 2026
- Individual RAUM · $70.2M to $71.0MAug 12, 2025 to Feb 9, 2026
- Pension RAUM · $695,407 to $1.0MAug 12, 2025 to Feb 9, 2026
- RAUM · $300M to $332MAug 12, 2025 to Feb 9, 2026
- Financial planning clients · 0 to 0Mar 6, 2025 to Aug 12, 2025
- Related broker-dealer · true to falseMar 6, 2025 to Aug 12, 2025
- Accounts · 896 to 702Sep 23, 2024 to Mar 6, 2025
- Advisory employees · 4 to 3Sep 23, 2024 to Mar 6, 2025
- Advisory activities · 1 to 3Sep 23, 2024 to Mar 6, 2025
- BD registered reps · 4 to 3Sep 23, 2024 to Mar 6, 2025
- Corporate clients · 5.0 to unsetSep 23, 2024 to Mar 6, 2025
- HNW clients · 227 to 180Sep 23, 2024 to Mar 6, 2025
- Individual clients · 343 to 246Sep 23, 2024 to Mar 6, 2025
- Pension plan clients · 4.0 to unsetSep 23, 2024 to Mar 6, 2025
- Employees · 4 to 7Sep 23, 2024 to Mar 6, 2025
- Financial planning clients · unset to 0Sep 23, 2024 to Mar 6, 2025
- State-registered IARs · 4 to 3Sep 23, 2024 to Mar 6, 2025
- Discretionary RAUM · $344M to $300MSep 23, 2024 to Mar 6, 2025
- HNW RAUM · $247M to $220MSep 23, 2024 to Mar 6, 2025
- Individual RAUM · $91.5M to $70.2MSep 23, 2024 to Mar 6, 2025
- Pension RAUM · $833,051 to $695,407Sep 23, 2024 to Mar 6, 2025
- RAUM · $344M to $300MSep 23, 2024 to Mar 6, 2025
- Accounts · 0 to 896Jul 1, 2024 to Sep 23, 2024
- Corporate clients · unset to 5.0Jul 1, 2024 to Sep 23, 2024
- HNW clients · unset to 227.0Jul 1, 2024 to Sep 23, 2024
- Individual clients · unset to 343.0Jul 1, 2024 to Sep 23, 2024
- Pension plan clients · unset to 4.0Jul 1, 2024 to Sep 23, 2024
- Discretionary RAUM · $0 to $344MJul 1, 2024 to Sep 23, 2024
- HNW RAUM · unset to 246700863.0Jul 1, 2024 to Sep 23, 2024
- Individual RAUM · unset to 91482076.0Jul 1, 2024 to Sep 23, 2024
- Pension RAUM · unset to 833051.0Jul 1, 2024 to Sep 23, 2024
Signals
3 dated events
- Frank Linn Holloway left Solano Wealth Advisors for Lpl Financial Llc (registered 2024-10-31)Nov 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 dayAug 20, 2024 · Firm absorbed (people side) · derived
- Solano Wealth Management filed its initial SEC registration (Form ADV)May 31, 2024 · 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 phone
- 707-435-8400reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- SOLANOWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (707) 435-8400reportedpublic record, Form ADV, Feb 9, 2026
- Contact form
- SOLANOWEALTH.COM/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- SOLANOWEALTH.COM/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026