# Financial advisors in Pleasanton, CA > AdvisorCensus lists 25 investment advisory firms with a principal office in Pleasanton, 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. Source: Form ADV filings as of October 2026. Rebuilt monthly. HTML page: https://advisorcensus.com/advisors/ca/san-francisco/pleasanton ## At a glance - Investment advisory firms: 25 - Registration: SEC-registered investment adviser: 7, State-registered investment adviser: 12, Exempt reporting adviser: 6 - How firms are compensated (Form ADV Item 5.E; shares of the firms that file it): Fee-only (AdvisorCensus test) 10 (53%); Percentage of assets 17 (89%); Hourly charges 9 (47%); Fixed fees 12 (63%); Performance-based fees 3 (16%); Other 2 (11%); No compensation arrangements reported 6 - Regulatory assets under management (Item 5.F): Under $25 million 4 (16%); $25 million to $100 million 4 (16%); $100 million to $500 million 4 (16%); $1 billion to $5 billion 2 (8%); Not reported 11 (44%) - Years registered: Under 5 years 12 (48%); 5 to 9 years 6 (24%); 10 to 19 years 6 (24%); 20 years or more 1 (4%) ## Firms (page 1 of 1, 1 to 25 of 25, sorted by name) | Firm | CRD | City | Registration | Assets band | Years registered | Compensation | | --- | --- | --- | --- | --- | --- | --- | | [Abundance Advisers](https://advisorcensus.com/firm/abundance-advisers-pleasanton-ca-310887) ([md](https://advisorcensus.com/firm/abundance-advisers-pleasanton-ca-310887.md)) | 310887 | Pleasanton, CA | State-registered investment adviser | Under $25 million | 5 | % of assets, Hourly, Fixed fee | | [Acumain Capital, LLC](https://advisorcensus.com/firm/acumain-capital-llc-pleasanton-ca-336530) ([md](https://advisorcensus.com/firm/acumain-capital-llc-pleasanton-ca-336530.md)) | 336530 | Pleasanton, CA | State-registered investment adviser | Not reported | 1 | % of assets, Performance fee | | [Adap Tax Financial, Inc.](https://advisorcensus.com/firm/adap-tax-financial-inc-pleasanton-ca-293211) ([md](https://advisorcensus.com/firm/adap-tax-financial-inc-pleasanton-ca-293211.md)) | 293211 | Pleasanton, CA | State-registered investment adviser | $25 million to $100 million | 8 | % of assets, Hourly, Fixed fee | | [Alta Via Capital](https://advisorcensus.com/firm/alta-via-capital-pleasanton-ca-289739) ([md](https://advisorcensus.com/firm/alta-via-capital-pleasanton-ca-289739.md)) | 289739 | Pleasanton, CA | State-registered investment adviser | $100 million to $500 million | 8 | % of assets | | [Aurum EP GP LLC](https://advisorcensus.com/firm/aurum-ep-gp-llc-pleasanton-ca-337707) ([md](https://advisorcensus.com/firm/aurum-ep-gp-llc-pleasanton-ca-337707.md)) | 337707 | Pleasanton, CA | Exempt reporting adviser | Not reported | 1 | Not reported | | [Aurum VP GP LLC](https://advisorcensus.com/firm/aurum-vp-gp-llc-pleasanton-ca-343097) ([md](https://advisorcensus.com/firm/aurum-vp-gp-llc-pleasanton-ca-343097.md)) | 343097 | Pleasanton, CA | Exempt reporting adviser | Not reported | 0 | Not reported | | [Dejarnatt, Paul E](https://advisorcensus.com/firm/dejarnatt-paul-e-pleasanton-ca-138820) ([md](https://advisorcensus.com/firm/dejarnatt-paul-e-pleasanton-ca-138820.md)) | 138820 | Pleasanton, CA | State-registered investment adviser | Under $25 million | 42 | % of assets | | [Golkonda Investment Advisors](https://advisorcensus.com/firm/golkonda-investment-advisors-pleasanton-ca-340319) ([md](https://advisorcensus.com/firm/golkonda-investment-advisors-pleasanton-ca-340319.md)) | 340319 | Pleasanton, CA | State-registered investment adviser | Not reported | 0 | Fixed fee | | [Grant Private Wealth Management](https://advisorcensus.com/firm/grant-private-wealth-management-pleasanton-ca-292917) ([md](https://advisorcensus.com/firm/grant-private-wealth-management-pleasanton-ca-292917.md)) | 292917 | Pleasanton, CA | SEC-registered investment adviser | $100 million to $500 million | 2 | % of assets, Hourly, Fixed fee | | [IWC Asset Management LLC](https://advisorcensus.com/firm/iwc-asset-management-llc-pleasanton-ca-286445) ([md](https://advisorcensus.com/firm/iwc-asset-management-llc-pleasanton-ca-286445.md)) | 286445 | Pleasanton, CA | SEC-registered investment adviser | $25 million to $100 million | 9 | % of assets | | [Kaizen Financial Strategies, LLC](https://advisorcensus.com/firm/kaizen-financial-strategies-llc-pleasanton-ca-298248) ([md](https://advisorcensus.com/firm/kaizen-financial-strategies-llc-pleasanton-ca-298248.md)) | 298248 | Pleasanton, CA | SEC-registered investment adviser | $100 million to $500 million | 7 | % of assets, Hourly, Fixed fee | | [Knight and Company Wealth Advisors, LLC](https://advisorcensus.com/firm/knight-and-company-wealth-advisors-llc-pleasanton-ca-171840) ([md](https://advisorcensus.com/firm/knight-and-company-wealth-advisors-llc-pleasanton-ca-171840.md)) | 171840 | Pleasanton, CA | State-registered investment adviser | $25 million to $100 million | 12 | % of assets | | [Mirador Capital Partners](https://advisorcensus.com/firm/mirador-capital-partners-pleasanton-ca-173764) ([md](https://advisorcensus.com/firm/mirador-capital-partners-pleasanton-ca-173764.md)) | 173764 | Pleasanton, CA | SEC-registered investment adviser | $1 billion to $5 billion | 11 | % of assets, Hourly, Fixed fee, Performance fee | | [Pandect Catalyst Fund Management LLC](https://advisorcensus.com/firm/pandect-catalyst-fund-management-llc-pleasanton-ca-288108) ([md](https://advisorcensus.com/firm/pandect-catalyst-fund-management-llc-pleasanton-ca-288108.md)) | 288108 | Pleasanton, CA | Exempt reporting adviser | Not reported | 0 | Not reported | | [Prudent Prospera Planning, Inc.](https://advisorcensus.com/firm/prudent-prospera-planning-inc-pleasanton-ca-175416) ([md](https://advisorcensus.com/firm/prudent-prospera-planning-inc-pleasanton-ca-175416.md)) | 175416 | Pleasanton, CA | State-registered investment adviser | Not reported | 11 | % of assets, Hourly, Fixed fee, Other | | [RPG Investment Advisory, LLC](https://advisorcensus.com/firm/rpg-investment-advisory-llc-pleasanton-ca-172173) ([md](https://advisorcensus.com/firm/rpg-investment-advisory-llc-pleasanton-ca-172173.md)) | 172173 | Pleasanton, CA | SEC-registered investment adviser | $1 billion to $5 billion | 11 | % of assets, Hourly, Fixed fee | | [Sierra Pacific Private Wealth, LLC](https://advisorcensus.com/firm/sierra-pacific-private-wealth-llc-pleasanton-ca-131738) ([md](https://advisorcensus.com/firm/sierra-pacific-private-wealth-llc-pleasanton-ca-131738.md)) | 131738 | Pleasanton, CA | SEC-registered investment adviser | $100 million to $500 million | 3 | % of assets, Hourly, Fixed fee | | [Smart Path Wealth Management, LLC](https://advisorcensus.com/firm/smart-path-wealth-management-llc-pleasanton-ca-283020) ([md](https://advisorcensus.com/firm/smart-path-wealth-management-llc-pleasanton-ca-283020.md)) | 283020 | Pleasanton, CA | State-registered investment adviser | Not reported | 10 | Fixed fee | | [Sobora Capital](https://advisorcensus.com/firm/sobora-capital-pleasanton-ca-288237) ([md](https://advisorcensus.com/firm/sobora-capital-pleasanton-ca-288237.md)) | 288237 | Pleasanton, CA | State-registered investment adviser | Not reported | 9 | % of assets, Hourly, Fixed fee, Other | | [The R.L. Brown Advisory Group, LLC](https://advisorcensus.com/firm/the-r-l-brown-advisory-group-llc-pleasanton-ca-145880) ([md](https://advisorcensus.com/firm/the-r-l-brown-advisory-group-llc-pleasanton-ca-145880.md)) | 145880 | Pleasanton, CA | State-registered investment adviser | Under $25 million | 18 | % of assets, Fixed fee | | [Turnmark Capital LLC](https://advisorcensus.com/firm/turnmark-capital-llc-pleasanton-ca-146892) ([md](https://advisorcensus.com/firm/turnmark-capital-llc-pleasanton-ca-146892.md)) | 146892 | Pleasanton, CA | Exempt reporting adviser | Not reported | 0 | Not reported | | [TVV Advisers, LLC](https://advisorcensus.com/firm/tvv-advisers-llc-pleasanton-ca-322542) ([md](https://advisorcensus.com/firm/tvv-advisers-llc-pleasanton-ca-322542.md)) | 322542 | Pleasanton, CA | SEC-registered investment adviser | $25 million to $100 million | 3 | % of assets, Performance fee | | [TVV GP II, LLC](https://advisorcensus.com/firm/tvv-gp-ii-llc-pleasanton-ca-319542) ([md](https://advisorcensus.com/firm/tvv-gp-ii-llc-pleasanton-ca-319542.md)) | 319542 | Pleasanton, CA | Exempt reporting adviser | Not reported | 0 | Not reported | | [TVV GP, LLC](https://advisorcensus.com/firm/tvv-gp-llc-pleasanton-ca-319541) ([md](https://advisorcensus.com/firm/tvv-gp-llc-pleasanton-ca-319541.md)) | 319541 | Pleasanton, CA | Exempt reporting adviser | Not reported | 0 | Not reported | | [Wealthpaver](https://advisorcensus.com/firm/wealthpaver-pleasanton-ca-299615) ([md](https://advisorcensus.com/firm/wealthpaver-pleasanton-ca-299615.md)) | 299615 | Pleasanton, CA | State-registered investment adviser | Under $25 million | 3 | % of assets | ## Questions people ask **How many financial advisory firms are there in Pleasanton, CA?** AdvisorCensus lists 25 investment advisory firms with a principal office in Pleasanton, California (part of the San Francisco metro area), from Form ADV filings as of October 2026: 7 SEC-registered, 12 state-registered, and 6 exempt reporting advisers. Firms may request removal, so the count can differ slightly from the number of firms that file Form ADV. **How many fee-only financial advisors are in Pleasanton, CA?** 10 of the 25 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. **How many financial advisors in Pleasanton, CA offer financial planning?** 11 of the 19 firms in Pleasanton, 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. **Are the financial advisors in Pleasanton, CA fiduciaries?** 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 10 firms that meet AdvisorCensus's fee-only test report none of those sales ties. **How do I check whether a financial advisor has disciplinary disclosures?** 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. **Does AdvisorCensus rate, verify, or recommend these firms?** 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. **What does regulatory assets under management mean?** 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. 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Financial advisors in Pleasanton, CA: 25 firms from Form ADV filings as of October 2026.