{ "path": "/advisors/ca/san-francisco/berkeley", "url": "https://advisorcensus.com/advisors/ca/san-francisco/berkeley", "page_type": "metro_city", "title": "Financial advisors in Berkeley, CA", "filters": {}, "scope_total": 32, "faq": [ { "q": "How many financial advisory firms are there in Berkeley, CA?", "a": "AdvisorCensus lists 32 investment advisory firms with a principal office in Berkeley, California (part of the San Francisco metro area), from Form ADV filings as of October 2026: 12 SEC-registered, 2 state-registered, and 18 exempt reporting advisers. Firms may request removal, so the count can differ slightly from the number of firms that file Form ADV." }, { "q": "How many fee-only financial advisors are in Berkeley, CA?", "a": "6 of the 32 firms meet AdvisorCensus's fee-only test: paid only by a percentage of assets, hourly charges, fixed fees, or subscription fees on Form ADV Item 5.E (no commissions, performance-based fees, or other compensation), with no sales-related compensation ties in the same filing: no employee registered with a broker-dealer or licensed as an insurance agent (Item 5.B), no brokerage, insurance, real estate, or other product sales business (Item 6.A), no related broker-dealer, insurance company, real estate broker, or futures commission merchant (Item 7.A), and no referral fees from others or other sales interest (Item 8). Form ADV has no fee-only box, so this is derived from the filing; it is not a fee-only certification, and a firm's own page lists its compensation arrangements as filed." }, { "q": "How many financial advisors in Berkeley, CA offer financial planning?", "a": "8 of the 14 firms in Berkeley, CA that answer Form ADV Item 5.G, which asks what advisory services a firm provides, report financial planning services, as of October 2026. Exempt reporting advisers do not answer Item 5.G. Each firm page lists every advisory service the firm reports." }, { "q": "Are the financial advisors in Berkeley, CA fiduciaries?", "a": "Every firm on this page is an investment adviser that files Form ADV, and an investment adviser owes its clients a fiduciary duty under federal law, made up of a duty of care and a duty of loyalty: it must act in the client's best interest and not put its own interests ahead of the client's, and must eliminate its conflicts of interest or disclose them fully and fairly. Form ADV has no fiduciary box because the duty comes with being an investment adviser. The duty covers the firm's advice; a firm or its people may also sell securities through a broker-dealer or insurance as licensed agents, roles held to other standards. The 6 firms that meet AdvisorCensus's fee-only test report none of those sales ties." }, { "q": "How do I check whether a financial advisor has disciplinary disclosures?", "a": "Each firm page shows how many Form ADV Item 11 disciplinary questions the firm answered yes and links to the firm's record on the SEC's Investment Adviser Public Disclosure site (adviserinfo.sec.gov), where the detail of each disclosure is public. Individual advisers' records are on the same site and on FINRA BrokerCheck." }, { "q": "Does AdvisorCensus rate, verify, or recommend these firms?", "a": "No. The directory shows what each firm filed, in alphabetical order unless you choose another sort, and no firm's position depends on payment. Firms that claim their page can add a description and links, marked as provided by the firm; the filed facts are never changed by that content." }, { "q": "What does regulatory assets under management mean?", "a": "Regulatory assets under management (RAUM) is the figure a firm reports on Form ADV Item 5.F: the securities portfolios it provides continuous and regular supervisory or management services for, at market value, including assets managed without discretion. It measures scale, not performance or quality." } ], "period": "2026-10-01", "answer_paragraph": "AdvisorCensus lists 32 investment advisory firms with a principal office in Berkeley, California (part of the San Francisco metro area), drawn from Form ADV filings as of October 2026. Firms are listed alphabetically; the full San Francisco metro area, including neighboring cities, is on its own page. Firms may request removal from the directory, so this count can differ from the number of firms that file Form ADV.", "about_market": null, "citation": "AdvisorCensus. Financial advisors in Berkeley, CA: 32 firms from Form ADV filings as of October 2026.", "total_firms": 32, "page": 1, "total_pages": 1, "sort": "name", "registration_types": { "sec": 12, "state": 2, "exempt": 18 }, "fee_model_mix": [ { "code": "fee-only", "count": 6 }, { "code": "percentage_of_aum", "count": 13 }, { "code": "hourly", "count": 9 }, { "code": "subscription", "count": 1 }, { "code": "fixed", "count": 8 }, { "code": "commissions", "count": 0 }, { "code": "performance_based", "count": 4 }, { "code": "other", "count": 3 }, { "code": "not_reported", "count": 18 } ], "years_registered_distribution": [ { "code": "under_5", "count": 16 }, { "code": "5_to_9", "count": 6 }, { "code": "10_to_19", "count": 5 }, { "code": "20_plus", "count": 2 }, { "code": "not_reported", "count": 3 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 2 }, { "code": "25m_100m", "count": 1 }, { "code": "100m_500m", "count": 7 }, { "code": "500m_1b", "count": 3 }, { "code": "1b_5b", "count": 0 }, { "code": "over_5b", "count": 1 }, { "code": "not_reported", "count": 18 } ], "firms": [ { "crd_number": 166226, "name": "Affinity Capital Advisors LLC", "name_as_filed": "AFFINITY CAPITAL ADVISORS LLC", "url": "https://advisorcensus.com/firm/affinity-capital-advisors-llc-berkeley-ca-166226", "city": "Berkeley", "state": "CA", "years_registered": 11, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 325088, "name": "Base Venture Management, Inc.", "name_as_filed": "BASE VENTURE MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/base-venture-management-inc-berkeley-ca-325088", "city": "Berkeley", "state": "CA", "years_registered": 3, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 332647, "name": "Berkeley Skydeck Fund I GP, LLC", "name_as_filed": "BERKELEY SKYDECK FUND I GP, LLC", "url": "https://advisorcensus.com/firm/berkeley-skydeck-fund-i-gp-llc-berkeley-ca-332647", "city": "Berkeley", "state": "CA", "years_registered": 1, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 327185, "name": "Bevc Management, LLC", "name_as_filed": "BEVC MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/bevc-management-llc-berkeley-ca-327185", "city": "Berkeley", "state": "CA", "years_registered": 3, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 111768, "name": "Blume Capital Management, Inc.", "name_as_filed": "BLUME CAPITAL MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/blume-capital-management-inc-berkeley-ca-111768", "city": "Berkeley", "state": "CA", "years_registered": 28, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 332646, "name": "BSF II GP, LLC", "name_as_filed": "BSF II GP, LLC", "url": "https://advisorcensus.com/firm/bsf-ii-gp-llc-berkeley-ca-332646", "city": "Berkeley", "state": "CA", "years_registered": 1, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 342011, "name": "BSF III GP, LLC", "name_as_filed": "BSF III GP, LLC", "url": "https://advisorcensus.com/firm/bsf-iii-gp-llc-berkeley-ca-342011", "city": "Berkeley", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 332645, "name": "BSF Opportunity Fund I GP, LLC", "name_as_filed": "BSF OPPORTUNITY FUND I GP, LLC", "url": "https://advisorcensus.com/firm/bsf-opportunity-fund-i-gp-llc-berkeley-ca-332645", "city": "Berkeley", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 282245, "name": "Christmas Corporation", "name_as_filed": "CHRISTMAS CORPORATION", "url": "https://advisorcensus.com/firm/christmas-corporation-berkeley-ca-282245", "city": "Berkeley", "state": "CA", "years_registered": 10, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "subscription", "performance_based" ], "enhanced": false }, { "crd_number": 127546, "name": "Clayton Partners LLC", "name_as_filed": "CLAYTON PARTNERS LLC", "url": "https://advisorcensus.com/firm/clayton-partners-llc-berkeley-ca-127546", "city": "Berkeley", "state": "CA", "years_registered": 11, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 149154, "name": "D.A. Flowers & Company, LLC", "name_as_filed": "D.A. FLOWERS & COMPANY, LLC", "url": "https://advisorcensus.com/firm/d-a-flowers-and-company-llc-berkeley-ca-149154", "city": "Berkeley", "state": "CA", "years_registered": null, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 285744, "name": "Effective Assets", "name_as_filed": "EFFECTIVE ASSETS", "url": "https://advisorcensus.com/firm/effective-assets-berkeley-ca-285744", "city": "Berkeley", "state": "CA", "years_registered": 5, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 165639, "name": "Elmwood Wealth Management", "name_as_filed": "ELMWOOD WEALTH MANAGEMENT", "url": "https://advisorcensus.com/firm/elmwood-wealth-management-berkeley-ca-165639", "city": "Berkeley", "state": "CA", "years_registered": 9, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 284000, "name": "Foghorn Fund GP, LLC", "name_as_filed": "FOGHORN FUND GP, LLC", "url": "https://advisorcensus.com/firm/foghorn-fund-gp-llc-berkeley-ca-284000", "city": "Berkeley", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 309135, "name": "Future Communities Capital", "name_as_filed": "FUTURE COMMUNITIES CAPITAL", "url": "https://advisorcensus.com/firm/future-communities-capital-berkeley-ca-309135", "city": "Berkeley", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 340926, "name": "Future Frontier Capital, LLC", "name_as_filed": "FUTURE FRONTIER CAPITAL, LLC", "url": "https://advisorcensus.com/firm/future-frontier-capital-llc-berkeley-ca-340926", "city": "Berkeley", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 331229, "name": "Greymatter Capital", "name_as_filed": "GREYMATTER CAPITAL", "url": "https://advisorcensus.com/firm/greymatter-capital-berkeley-ca-331229", "city": "Berkeley", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 308341, "name": "Honte Advisors LLC", "name_as_filed": "HONTE ADVISORS LLC", "url": "https://advisorcensus.com/firm/honte-advisors-llc-berkeley-ca-308341", "city": "Berkeley", "state": "CA", "years_registered": 6, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 136431, "name": "North Berkeley Wealth Management, LLC", "name_as_filed": "NORTH BERKELEY WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/north-berkeley-wealth-management-llc-berkeley-ca-136431", "city": "Berkeley", "state": "CA", "years_registered": 21, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 332566, "name": "Raisewell Ventures", "name_as_filed": "RAISEWELL VENTURES", "url": "https://advisorcensus.com/firm/raisewell-ventures-berkeley-ca-332566", "city": "Berkeley", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 335232, "name": "RO2 Wealth", "name_as_filed": "RO2 WEALTH", "url": "https://advisorcensus.com/firm/ro2-wealth-berkeley-ca-335232", "city": "Berkeley", "state": "CA", "years_registered": 1, "raum_band": "under_25m", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 110886, "name": "Sasser Investment Management, Inc.", "name_as_filed": "SASSER INVESTMENT MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/sasser-investment-management-inc-berkeley-ca-110886", "city": "Berkeley", "state": "CA", "years_registered": 5, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "other" ], "enhanced": false }, { "crd_number": 342034, "name": "Schelling Point Partners", "name_as_filed": "SCHELLING POINT PARTNERS", "url": "https://advisorcensus.com/firm/schelling-point-partners-berkeley-ca-342034", "city": "Berkeley", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 171980, "name": "Serene Investment Management, LLC", "name_as_filed": "SERENE INVESTMENT MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/serene-investment-management-llc-berkeley-ca-171980", "city": "Berkeley", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 341046, "name": "Tailwind Futures", "name_as_filed": "TAILWIND FUTURES", "url": "https://advisorcensus.com/firm/tailwind-futures-berkeley-ca-341046", "city": "Berkeley", "state": "CA", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 282494, "name": "The House Fund, LLC", "name_as_filed": "THE HOUSE FUND, LLC", "url": "https://advisorcensus.com/firm/the-house-fund-llc-berkeley-ca-282494", "city": "Berkeley", "state": "CA", "years_registered": 10, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 162243, "name": "The Roda Group Clean Tech Management, LLC", "name_as_filed": "THE RODA GROUP CLEAN TECH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/the-roda-group-clean-tech-management-llc-berkeley-ca-162243", "city": "Berkeley", "state": "CA", "years_registered": null, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 162249, "name": "The Roda Group Venture Development Co. 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