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NAPA WEALTH MANAGEMENT

NAPA, CA · CRD 137724 · IAPD ↗ · napawealth.com · (707) 252-1343

$266.7MRegulatory AUM
5Advisory reps
6Employees
0Clients
26-50Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
January 2026 — NAPA WEALTH MANAGEMENT (NAPA, CA) left the SEC roster (was $266.7M RAUM, 5 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
61
April 2025 — NAPA WEALTH MANAGEMENT reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
April 2025 — NAPA WEALTH MANAGEMENT now reports custody of client assets ($90.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.