# North Berkeley Wealth Management, LLC

> 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.

- CRD: 136431
- Filed as: NORTH BERKELEY WEALTH MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Berkeley, CA
- Filing period: October 2026
- Form ADV filing dated: March 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/136431
- AdvisorCensus page: https://advisorcensus.com/firm/north-berkeley-wealth-management-llc-berkeley-ca-136431

## Quick answers

**How is North Berkeley Wealth Management, LLC compensated?**
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).

**How much does North Berkeley Wealth Management, LLC charge?**
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; Hourly rate: $295 an hour (Hourly financial planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is North Berkeley Wealth Management, LLC located?**
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).

**Is North Berkeley Wealth Management, LLC registered with the SEC or a state?**
North Berkeley Wealth Management, LLC is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 136431.

**How much does North Berkeley Wealth Management, LLC manage?**
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).

**How have North Berkeley Wealth Management, LLC's assets and staff changed since 2021?**
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.

**What types of clients does North Berkeley Wealth Management, LLC serve?**
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).

**Which custodians does North Berkeley Wealth Management, LLC use?**
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.

**Does North Berkeley Wealth Management, LLC report any disciplinary disclosures?**
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

**What changed in North Berkeley Wealth Management, LLC's recent Form ADV filings?**
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.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 19, 2026)

- 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

> 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%

- Hourly rate: $295 an hour (Hourly financial planning services)

> Hourly financial planning services will be charged at the hourly rate of $295.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Pershing LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $829,754,046
- Discretionary: $806,756,036
- Non-discretionary: $22,998,010

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 181 | $91,103,269 |
| High net worth individuals | 220 | $713,534,255 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 3 | $12,304,395 |
| Charitable organizations | 7 | $12,812,127 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2005 (21 years)
- Employees: 16 total, 11 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, LA, NY, OR, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Olympia, WA

### Websites listed on Form ADV (Item 1.I)
- northberkeleywealth.com
- northberkeleywealth.medium.com
- Facebook @NorthBerkeleyWealth
- Instagram @northberkeleywealth
- LinkedIn @north-berkeley-wealth
- LinkedIn @arianaali
- LinkedIn @bergerkim
- LinkedIn @briankozelcfp
- LinkedIn @daniel-smyth-cfp®-49487951
- LinkedIn @esg-experts-berkeley
- LinkedIn @james-robert-wilson
- LinkedIn @jenaregan
- LinkedIn @maria-quintana-pilling
- LinkedIn @matthew-gatt-cfp-®-336143a7
- LinkedIn @samwoodbednarz
- LinkedIn @stephanienehmens
- X @berkeleywealth

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $485,480,045 | 13 | March 30, 2021 |
| October 2022 | $576,254,762 | 15 | March 10, 2022 |
| October 2023 | $507,726,243 | 15 | March 20, 2023 |
| October 2024 | $613,126,684 | 15 | September 17, 2024 |
| October 2025 | $710,619,518 | 16 | July 14, 2025 |
| October 2026 | $829,754,046 | 16 | March 19, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. North Berkeley Wealth Management, LLC (CRD 136431): Form ADV filing data as of October 2026.