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SONOMA ALLOCATIONS

SANTA ROSA, CA · CRD 335435 · IAPD ↗ · sonomaallocations.com · 707-490-8842

$350.0MRegulatory AUM
3Advisory reps
4Employees
0Clients
51-100Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
March 2026 — SONOMA ALLOCATIONS added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
March 2026 — SONOMA ALLOCATIONS reports 51-100 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
December 2025 — SONOMA ALLOCATIONS grew from 2 to 4 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
June 2025 — SONOMA FAMILY WEALTH is now doing business as SONOMA ALLOCATIONS.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
95
May 2025 — SONOMA FAMILY WEALTH (SANTA ROSA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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