{ "path": "/advisors/ca/santa-rosa/fee-only", "url": "https://advisorcensus.com/advisors/ca/santa-rosa/fee-only", "page_type": "metro_fee", "title": "Fee-only financial advisors in Santa Rosa, CA", "filters": {}, "scope_total": 26, "faq": [ { "q": "How many financial advisory firms are there in Santa Rosa, CA?", "a": "AdvisorCensus lists 51 investment advisory firms with a principal office in the Santa Rosa metro area, from Form ADV filings as of October 2026: 20 SEC-registered, 26 state-registered, and 5 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 Santa Rosa, CA?", "a": "26 of the 51 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 Santa Rosa, CA offer financial planning?", "a": "32 of the 46 firms in Santa Rosa, 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 Santa Rosa, 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 26 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 26 investment advisory firms with a principal office in the Santa Rosa metro area that meet AdvisorCensus's fee-only test: paid only by client fees on Form ADV Item 5.E, with no employee registered with a broker-dealer or licensed as an insurance agent, no brokerage, insurance, or real estate sales business or related company, and no referral fees from others, drawn from Form ADV filings as of October 2026. Firms are listed alphabetically; sort by years registered or assets band using the controls below, and read the methodology block for how this page is derived.", "about_market": "Santa Rosa has 51 investment advisory firms with a principal office in the metro area as of October 2026: 20 SEC-registered, 26 state-registered, and 5 exempt reporting advisers. 26 of them meet AdvisorCensus's fee-only test (paid only by client fees, with no sales-related compensation ties such as an employee registered with a broker-dealer or licensed as an insurance agent), and 21 report under $100 million in regulatory assets under management. The metro area has 190,998 households, 39,468 of them with income of $200,000 or more, or 774 such households for each firm (Census Bureau, American Community Survey 2020–2024 5-year estimates).", "citation": "AdvisorCensus. Fee-only financial advisors in Santa Rosa, CA: 26 firms from Form ADV filings as of October 2026.", "total_firms": 26, "page": 1, "total_pages": 1, "sort": "name", "registration_types": { "sec": 10, "state": 16, "exempt": 0 }, "fee_model_mix": [ { "code": "fee-only", "count": 26 }, { "code": "percentage_of_aum", "count": 23 }, { "code": "hourly", "count": 13 }, { "code": "subscription", "count": 0 }, { "code": "fixed", "count": 15 }, { "code": "commissions", "count": 0 }, { "code": "performance_based", "count": 0 }, { "code": "other", "count": 0 }, { "code": "not_reported", "count": 0 } ], "years_registered_distribution": [ { "code": "under_5", "count": 5 }, { "code": "5_to_9", "count": 4 }, { "code": "10_to_19", "count": 8 }, { "code": "20_plus", "count": 9 }, { "code": "not_reported", "count": 0 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 4 }, { "code": "25m_100m", "count": 8 }, { "code": "100m_500m", "count": 10 }, { "code": "500m_1b", "count": 1 }, { "code": "1b_5b", "count": 0 }, { "code": "over_5b", "count": 0 }, { "code": "not_reported", "count": 3 } ], "firms": [ { "crd_number": 286513, "name": "Breen Wealth Management, LLC", "name_as_filed": "BREEN WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/breen-wealth-management-llc-petaluma-ca-286513", "city": "Petaluma", "state": "CA", "years_registered": 8, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 112978, "name": "Clifford Financial Planning, Inc.", "name_as_filed": "CLIFFORD FINANCIAL PLANNING, INC.", "url": "https://advisorcensus.com/firm/clifford-financial-planning-inc-santa-rosa-ca-112978", "city": "Santa Rosa", "state": "CA", "years_registered": 28, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 125401, "name": "Creekside Partners", "name_as_filed": "CREEKSIDE PARTNERS", "url": "https://advisorcensus.com/firm/creekside-partners-petaluma-ca-125401", "city": "Petaluma", "state": "CA", "years_registered": 18, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 112079, "name": "Dobson Asset Management", "name_as_filed": "DOBSON ASSET MANAGEMENT", "url": "https://advisorcensus.com/firm/dobson-asset-management-petaluma-ca-112079", "city": "Petaluma", "state": "CA", "years_registered": 30, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 325723, "name": "Enspire Wealth Management, LLC", "name_as_filed": "ENSPIRE WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/enspire-wealth-management-llc-santa-rosa-ca-325723", "city": "Santa Rosa", "state": "CA", "years_registered": 3, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 122728, "name": "FPC Investment Advisory, Inc.", "name_as_filed": "FPC INVESTMENT ADVISORY, INC.", "url": "https://advisorcensus.com/firm/fpc-investment-advisory-inc-petaluma-ca-122728", "city": "Petaluma", "state": "CA", "years_registered": 8, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 140752, "name": "Hawthorn Capital Management, LLC", "name_as_filed": "HAWTHORN CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/hawthorn-capital-management-llc-sebastopol-ca-140752", "city": "Sebastopol", "state": "CA", "years_registered": 19, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 330468, "name": "Iluka Advisors", "name_as_filed": "ILUKA ADVISORS", "url": "https://advisorcensus.com/firm/iluka-advisors-healdsburg-ca-330468", "city": "Healdsburg", "state": "CA", "years_registered": 2, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 129834, "name": "John Schooler Jones LLC", "name_as_filed": "JOHN SCHOOLER JONES LLC", "url": "https://advisorcensus.com/firm/john-schooler-jones-llc-petaluma-ca-129834", "city": "Petaluma", "state": "CA", "years_registered": 22, "raum_band": "not_reported", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 120267, "name": "JPC Wealth Management, Inc.", "name_as_filed": "JPC WEALTH MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/jpc-wealth-management-inc-petaluma-ca-120267", "city": "Petaluma", "state": "CA", "years_registered": 24, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 145321, "name": "Kruse Financial Strategy", "name_as_filed": "KRUSE FINANCIAL STRATEGY", "url": "https://advisorcensus.com/firm/kruse-financial-strategy-petaluma-ca-145321", "city": "Petaluma", "state": "CA", "years_registered": 18, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 136210, "name": "McDonell, Mark Robert", "name_as_filed": "MCDONELL, MARK ROBERT", "url": "https://advisorcensus.com/firm/mcdonell-mark-robert-santa-rosa-ca-136210", "city": "Santa Rosa", "state": "CA", "years_registered": 26, "raum_band": "not_reported", "compensation_types": [ "hourly" ], "enhanced": false }, { "crd_number": 147969, "name": "Meritage Wealth Advisory, LLC", "name_as_filed": "MERITAGE WEALTH ADVISORY, LLC", "url": "https://advisorcensus.com/firm/meritage-wealth-advisory-llc-santa-rosa-ca-147969", "city": "Santa Rosa", "state": "CA", "years_registered": 17, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 283960, "name": "Miles Brown Asset Management", "name_as_filed": "MILES BROWN ASSET MANAGEMENT", "url": "https://advisorcensus.com/firm/miles-brown-asset-management-santa-rosa-ca-283960", "city": "Santa Rosa", "state": "CA", "years_registered": 10, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 104923, "name": "Miller, Fleming & Associates", "name_as_filed": "MILLER, FLEMING & ASSOCIATES", "url": "https://advisorcensus.com/firm/miller-fleming-and-associates-sonoma-ca-104923", "city": "Sonoma", "state": "CA", "years_registered": 14, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 310412, "name": "Money Compass Advisors", "name_as_filed": "MONEY COMPASS ADVISORS", "url": "https://advisorcensus.com/firm/money-compass-advisors-sonoma-ca-310412", "city": "Sonoma", "state": "CA", "years_registered": 5, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 136154, "name": "Mork Capital Management", "name_as_filed": "MORK CAPITAL MANAGEMENT", "url": "https://advisorcensus.com/firm/mork-capital-management-healdsburg-ca-136154", "city": "Healdsburg", "state": "CA", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 139058, "name": "Nickel Investment Advisors, Inc.", "name_as_filed": "NICKEL INVESTMENT ADVISORS, INC.", "url": "https://advisorcensus.com/firm/nickel-investment-advisors-inc-windsor-ca-139058", "city": "Windsor", "state": "CA", "years_registered": 20, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 285523, "name": "North Bay Wealth Management", "name_as_filed": "NORTH BAY WEALTH MANAGEMENT", "url": "https://advisorcensus.com/firm/north-bay-wealth-management-petaluma-ca-285523", "city": "Petaluma", "state": "CA", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 119226, "name": "North Coast Asset Management, Inc.", "name_as_filed": "NORTH COAST ASSET MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/north-coast-asset-management-inc-windsor-ca-119226", "city": "Windsor", "state": "CA", "years_registered": 24, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 129214, "name": "Northbay Advisors", "name_as_filed": "NORTHBAY ADVISORS", "url": "https://advisorcensus.com/firm/northbay-advisors-rohnert-park-ca-129214", "city": "Rohnert Park", "state": "CA", "years_registered": 22, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 171985, "name": "Ridgeview Financial Planning", "name_as_filed": "RIDGEVIEW FINANCIAL PLANNING", "url": "https://advisorcensus.com/firm/ridgeview-financial-planning-santa-rosa-ca-171985", "city": "Santa Rosa", "state": "CA", "years_registered": 12, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 111081, "name": "Romain Walsh Clerou Professional Investment MGMT", "name_as_filed": "ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT", "url": "https://advisorcensus.com/firm/romain-walsh-clerou-professional-investment-mgmt-sonoma-ca-111081", "city": "Sonoma", "state": "CA", "years_registered": 6, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 334099, "name": "Sonoma Mountain Financial LLC", "name_as_filed": "SONOMA MOUNTAIN FINANCIAL LLC", "url": "https://advisorcensus.com/firm/sonoma-mountain-financial-llc-petaluma-ca-334099", "city": "Petaluma", "state": "CA", "years_registered": 1, "raum_band": "under_25m", "compensation_types": [ "fixed" ], "enhanced": false }, { "crd_number": 150179, "name": "The McBride Group", "name_as_filed": "THE MCBRIDE GROUP", "url": "https://advisorcensus.com/firm/the-mcbride-group-petaluma-ca-150179", "city": "Petaluma", "state": "CA", "years_registered": 17, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 121999, "name": "The Rose Investment Management", "name_as_filed": "THE ROSE INVESTMENT MANAGEMENT", "url": "https://advisorcensus.com/firm/the-rose-investment-management-santa-rosa-ca-121999", "city": "Santa Rosa", "state": "CA", "years_registered": 33, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false } ], "states": [], "metros": [], "siblings": { "national": "/advisors", "state": { "path": "/advisors/ca", "label": "Financial advisors in California" }, "metro": { "path": "/advisors/ca/santa-rosa", "label": "Financial advisors in Santa Rosa, CA" }, "city_pages": [ { "path": "/advisors/ca/santa-rosa/petaluma", "label": "Financial advisors in Petaluma, CA", "firm_count": 15 } ], "fee_pages": [ { "path": "/advisors/ca/santa-rosa/flat-fee", "label": "Flat-fee financial advisors in Santa Rosa, CA", "firm_count": 29 }, { "path": "/advisors/ca/santa-rosa/hourly", "label": "Hourly financial advisors in Santa Rosa, CA", "firm_count": 26 } ], "niche_pages": [], "state_fee": { "path": "/advisors/ca/fee-only", "label": "Fee-only financial advisors in California" } }, "csv": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }