{
  "crd_number": 136431,
  "slug": "north-berkeley-wealth-management-llc-berkeley-ca-136431",
  "primary_business_name": "NORTH BERKELEY WEALTH MANAGEMENT, LLC",
  "legal_name": "NORTH BERKELEY WEALTH MANAGEMENT, LLC",
  "dbas": [],
  "city": "Berkeley",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "41860",
  "metro": {
    "cbsa_code": "41860",
    "common_name": "San Francisco",
    "msa_name": "San Francisco-Oakland-Fremont, CA",
    "path": "/advisors/ca/san-francisco"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2005-08-10",
  "years_registered": 21,
  "period": "2026-10-01",
  "filing_date": "2026-03-19",
  "carried_forward": false,
  "raum_total": 829754046.0,
  "raum_discretionary": 806756036.0,
  "raum_non_discretionary": 22998010.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 16,
  "advisory_employees": 11,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 12812127.0,
      "count": 7
    },
    "individuals": {
      "raum": 91103269.0,
      "count": 181
    },
    "pension_profit_sharing": {
      "raum": 12304395.0,
      "count": 3,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 713534255.0,
      "count": 220
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "LA",
    "NY",
    "OR",
    "TX",
    "WA"
  ],
  "websites": [
    "https://facebook.com/NorthBerkeleyWealth",
    "https://instagram.com/northberkeleywealth",
    "https://linkedin.com/company/north-berkeley-wealth",
    "https://linkedin.com/in/arianaali",
    "https://linkedin.com/in/bergerkim",
    "https://linkedin.com/in/briankozelcfp",
    "https://linkedin.com/in/daniel-smyth-cfp%C2%AE-49487951",
    "https://linkedin.com/in/esg-experts-berkeley",
    "https://linkedin.com/in/james-robert-wilson",
    "https://linkedin.com/in/jenaregan",
    "https://linkedin.com/in/maria-quintana-pilling",
    "https://linkedin.com/in/matthew-gatt-cfp-%C2%AE-336143a7",
    "https://linkedin.com/in/samwoodbednarz",
    "https://linkedin.com/in/stephanienehmens",
    "https://northberkeleywealth.com",
    "https://northberkeleywealth.medium.com",
    "https://twitter.com/berkeleywealth"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/136431",
  "city_as_filed": "BERKELEY",
  "url": "https://advisorcensus.com/firm/north-berkeley-wealth-management-llc-berkeley-ca-136431",
  "display_name": "North Berkeley Wealth Management, LLC",
  "summary": "North Berkeley Wealth Management, LLC is an SEC-registered investment advisory firm in Berkeley, CA, registered since 2005, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 19, 2026.",
  "citation": "AdvisorCensus. North Berkeley Wealth Management, LLC (CRD 136431): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is North Berkeley Wealth Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), North Berkeley Wealth Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "What does North Berkeley Wealth Management, LLC's brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated March 19, 2026 states: Up to $3,000,000: 1% a year; $3,000,000 to $5,000,000: 0.75% a year; $5,000,000 to $10,000,000: 0.5% a year; Above $10,000,000: 0.35% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is North Berkeley Wealth Management, LLC located?",
      "a": "North Berkeley Wealth Management, LLC's principal office is in Berkeley, CA, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is North Berkeley Wealth Management, LLC registered with the SEC or a state?",
      "a": "North Berkeley Wealth Management, LLC is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 136431."
    },
    {
      "q": "How much does North Berkeley Wealth Management, LLC manage?",
      "a": "North Berkeley Wealth Management, LLC reports $829,754,046 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (97% discretionary)."
    },
    {
      "q": "How have North Berkeley Wealth Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for North Berkeley Wealth Management, LLC: Regulatory assets under management: $485,480,045 in the October 2021 data and $829,754,046 in the October 2026 data, up 71%. Total employees: 13 in October 2021 and 16 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does North Berkeley Wealth Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (220); individuals (other than high net worth individuals) (181); charitable organizations (7)."
    },
    {
      "q": "Which custodians does North Berkeley Wealth Management, LLC use?",
      "a": "North Berkeley Wealth Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Pershing LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does North Berkeley Wealth Management, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/136431"
    },
    {
      "q": "What changed in North Berkeley Wealth Management, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 8 to 11. Regulatory assets under management went from $710,619,518 to $829,754,046 (+17%). Added an office in Olympia, WA."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 485480045.0,
      "total_employees": 13,
      "filing_date": "2021-03-30"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 576254762.0,
      "total_employees": 15,
      "filing_date": "2022-03-10"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 507726243.0,
      "total_employees": 15,
      "filing_date": "2023-03-20"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 613126684.0,
      "total_employees": 15,
      "filing_date": "2024-09-17"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 710619518.0,
      "total_employees": 16,
      "filing_date": "2025-07-14"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 829754046.0,
      "total_employees": 16,
      "filing_date": "2026-03-19"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 8 to 11.",
        "Regulatory assets under management went from $710,619,518 to $829,754,046 (+17%).",
        "Added an office in Olympia, WA."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 19, 2026",
    "tiers": [
      {
        "band": "Up to $3,000,000",
        "rate": "1%"
      },
      {
        "band": "$3,000,000 to $5,000,000",
        "rate": "0.75%"
      },
      {
        "band": "$5,000,000 to $10,000,000",
        "rate": "0.5%"
      },
      {
        "band": "Above $10,000,000",
        "rate": "0.35%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "Up to $3,000,000: 1% a year",
          "$3,000,000 to $5,000,000: 0.75% a year",
          "$5,000,000 to $10,000,000: 0.5% a year",
          "Above $10,000,000: 0.35% a year"
        ],
        "quotes": [
          "Assets Under Management Quarterly Rate Annual Rate Up to $3 million 0.25% 1.00% $3 -$5 million 0.1875% 0.75% $5 - $10 million 0.125% 0.50% Over $10 million 0.0875% 0.35%"
        ]
      }
    ],
    "quotes": [
      "Assets Under Management Quarterly Rate Annual Rate Up to $3 million 0.25% 1.00% $3 -$5 million 0.1875% 0.75% $5 - $10 million 0.125% 0.50% Over $10 million 0.0875% 0.35%"
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Pershing LLC",
      "name_as_filed": "PERSHING LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/north-berkeley-wealth-management-llc-berkeley-ca-136431.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 181,
      "fewer_than_5": false,
      "raum": 91103269.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 220,
      "fewer_than_5": false,
      "raum": 713534255.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 3,
      "fewer_than_5": true,
      "raum": 12304395.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 7,
      "fewer_than_5": false,
      "raum": 12812127.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "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/136431",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}