← Tributary

SWEENEY & MICHEL, LLC

CHICO, CA · CRD 282595 · IAPD ↗ · (530) 487-1777

$752.6MRegulatory AUM
3Advisory reps
3Employees
0Clients
1-10Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

61
April 2026 — SWEENEY & MICHEL, LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
45
April 2025 — SWEENEY & MICHEL, LLC notice-filed in NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
April 2025 — SWEENEY & MICHEL, LLC now reports custody of client assets ($561.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2024 — SWEENEY & MICHEL, LLC crossed $500M in regulatory AUM ($423.5M -> $557.5M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

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