{
  "crd_number": 111396,
  "slug": "brian-sly-and-company-meadow-vista-ca-111396",
  "primary_business_name": "BRIAN SLY AND COMPANY",
  "legal_name": "BRIAN SLY AND COMPANY",
  "dbas": [],
  "city": "Meadow Vista",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "40900",
  "metro": {
    "cbsa_code": "40900",
    "common_name": "Sacramento",
    "msa_name": "Sacramento-Roseville-Folsom, CA",
    "path": "/advisors/ca/sacramento"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "1995-01-09",
  "years_registered": 31,
  "period": "2026-10-01",
  "filing_date": "2026-01-03",
  "carried_forward": false,
  "raum_total": 1973220.0,
  "raum_discretionary": 0.0,
  "raum_non_discretionary": 1973220.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "high_net_worth_individuals": {
      "raum": 1973220.0,
      "count": 8
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "CA"
  ],
  "websites": [
    "https://briansly.com",
    "https://linkedin.com/IN/BRIANSLY"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/111396",
  "disclosure_items": [
    {
      "item": "11.E(1)",
      "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "MEADOW VISTA",
  "url": "https://advisorcensus.com/firm/brian-sly-and-company-meadow-vista-ca-111396",
  "display_name": "Brian SLY and Company",
  "summary": "Brian SLY and Company is a state-registered investment advisory firm in Meadow Vista, CA, registered since 1995, reporting under $25 million in regulatory assets under management in its Form ADV filing dated January 3, 2026.",
  "citation": "AdvisorCensus. Brian SLY and Company (CRD 111396): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Brian SLY and Company compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Brian SLY and Company reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Brian SLY and Company located?",
      "a": "Brian SLY and Company's principal office is in Meadow Vista, CA, according to its Form ADV."
    },
    {
      "q": "Is Brian SLY and Company registered with the SEC or a state?",
      "a": "Brian SLY and Company is a state-registered investment advisory firm, registered since 1995. Status as filed: APPROVED. CRD 111396."
    },
    {
      "q": "How much does Brian SLY and Company manage?",
      "a": "Brian SLY and Company reports $1,973,220 in regulatory assets under management in its Form ADV filing dated January 3, 2026 (0% discretionary)."
    },
    {
      "q": "What types of clients does Brian SLY and Company serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (8)."
    },
    {
      "q": "Does Brian SLY and Company report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.E(1) (self-regulatory organization's finding of a false statement or omission), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/111396"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/brian-sly-and-company-meadow-vista-ca-111396.md",
  "clients": [
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 8,
      "fewer_than_5": false,
      "raum": 1973220.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/111396",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}