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
Sonoma Allocations
Legal name Sonoma Allocations LLC
Latest filing Apr 16, 2026
First filing on the tape Mar 28, 2025 · 5 filings
SEC status approved since Apr 24, 2025
RAUM
$350M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$339M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$350M as of Apr 16, 2026
Mar 28, 2025$0 then
HNW client RAUM$190M as of Apr 16, 2026
Aug 27, 2025$160M then
State-registered IARs (5.B.3)3 as of Apr 16, 2026
Mar 28, 20252 then
Employees (5.A)4 as of Apr 16, 2026
Mar 28, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 3offices 0 to 1
Practice profile
derived from the filing of Apr 16, 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
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $388,027derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$190M54%
- Individuals$148M42%
- Charitable organizations$6.3M1.8%
- State and municipal entities$4.1M1.2%
- Corporations and businesses$1.0M0.3%
- Individual clients
- 138reported
- HNW clients
- 190reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 902reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| Todd Arthur GomesCertified Financial Planner | Santa Rosa, Ca | May 9, 2025 | 20 y | 2 |
| Ben Frank Sedillo | Santa Rosa, Ca | May 9, 2025 | 18 y | 4 |
| Kevin Charles Morrow | Santa Rosa, Ca | Aug 3, 2025 | 32 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- Adilene Calixtro to Diversify Advisory Services, LLCApr 16, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- Adilene Calixtro from Diversify Advisory Services, LLCAug 21, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- Kevin Charles Morrow from Fermata AdvisorsAug 3, 2025 · RIA to a newly registered adviser
- Todd Arthur Gomes from Fermata AdvisorsMay 9, 2025 · RIA to a newly registered adviser
- Ben Frank Sedillo from Fermata AdvisorsMay 9, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Fermata AdvisorsJun 7, 2025 · Santa Rosa, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Arthur Todd Gomes · Managing Partner And Chief Compliance Officercontrolsince 05/2021 · owns 50% to 75%
- Frank Ben Sedillo · Managing Partnercontrolsince 05/2021 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Santa Rosa, Ca · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Feb 3, 2026 to Apr 16, 2026
- Employees · 5 to 4Feb 3, 2026 to Apr 16, 2026
- State-registered IARs · 4 to 3Feb 3, 2026 to Apr 16, 2026
- Accounts · 815 to 902Aug 27, 2025 to Feb 3, 2026
- Charity clients · 1 to 2Aug 27, 2025 to Feb 3, 2026
- Corporate clients · 0 to 1Aug 27, 2025 to Feb 3, 2026
- HNW clients · 80 to 190Aug 27, 2025 to Feb 3, 2026
- Individual clients · 232 to 138Aug 27, 2025 to Feb 3, 2026
- Financial planning clients · 0 to 51-100Aug 27, 2025 to Feb 3, 2026
- Other offices · 0 to 1Aug 27, 2025 to Feb 3, 2026
- Discretionary RAUM · $308M to $350MAug 27, 2025 to Feb 3, 2026
- HNW RAUM · $160M to $190MAug 27, 2025 to Feb 3, 2026
- Individual RAUM · $146M to $148MAug 27, 2025 to Feb 3, 2026
- RAUM · $308M to $350MAug 27, 2025 to Feb 3, 2026
- Accounts · 0 to 815May 13, 2025 to Aug 27, 2025
- Advisory employees · 2 to 4May 13, 2025 to Aug 27, 2025
- Charity clients · unset to 1.0May 13, 2025 to Aug 27, 2025
- Corporate clients · unset to 0.0May 13, 2025 to Aug 27, 2025
- HNW clients · unset to 80.0May 13, 2025 to Aug 27, 2025
- Individual clients · unset to 232.0May 13, 2025 to Aug 27, 2025
- Pension plan clients · unset to 0.0May 13, 2025 to Aug 27, 2025
- Pooled vehicle clients · unset to 0.0May 13, 2025 to Aug 27, 2025
- Employees · 2 to 5May 13, 2025 to Aug 27, 2025
- Financial planning clients · 0 to 0May 13, 2025 to Aug 27, 2025
- State-registered IARs · 2 to 4May 13, 2025 to Aug 27, 2025
- Discretionary RAUM · $0 to $308MMay 13, 2025 to Aug 27, 2025
- HNW RAUM · unset to 160000000.0May 13, 2025 to Aug 27, 2025
- Individual RAUM · unset to 146000000.0May 13, 2025 to Aug 27, 2025
- Pension RAUM · unset to 0.0May 13, 2025 to Aug 27, 2025
- Pooled vehicle RAUM · unset to 0.0May 13, 2025 to Aug 27, 2025
- RAUM · $0 to $308MMay 13, 2025 to Aug 27, 2025
- Business name · SONOMA FAMILY WEALTH to SONOMA ALLOCATIONSMar 28, 2025 to May 13, 2025
Signals
2 dated events
- Adilene Calixtro left Sonoma Allocations for Diversify Advisory Services, Llc (registered 2026-04-07)Apr 16, 2026 · Advisor changed firm · fact
- 3 advisors left Fermata Advisors (Santa Rosa, CA) for Sonoma Allocations on the same dayJun 7, 2025 · Team lift-out · derived
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
- 707-387-4414reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 707-387-4557reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 707-387-4590reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/sonoma-allocations-llc/posts/?feedView=reportedpublic record, Form ADV, Sep 17, 2026
- Website
- sonomaallocations.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 707-490-8842reportedpublic record, Form ADV, Apr 16, 2026
- Contact form
- sonomaallocations.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- sonomaallocations.com/about-us/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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026