{
  "crd_number": 111081,
  "slug": "romain-walsh-clerou-professional-investment-mgmt-sonoma-ca-111081",
  "primary_business_name": "ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT",
  "legal_name": "CLEROU ROMAIN PIERRE WALSH",
  "dbas": [],
  "city": "Sonoma",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "42220",
  "metro": {
    "cbsa_code": "42220",
    "common_name": "Santa Rosa",
    "msa_name": "Santa Rosa-Petaluma, CA",
    "path": "/advisors/ca/santa-rosa"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2019-12-10",
  "years_registered": 6,
  "period": "2026-10-01",
  "filing_date": "2026-03-09",
  "carried_forward": false,
  "raum_total": 218943043.0,
  "raum_discretionary": 218943043.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 1717427.0,
      "count": 9
    },
    "high_net_worth_individuals": {
      "raum": 217225616.0,
      "count": 33
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/111081",
  "city_as_filed": "SONOMA",
  "url": "https://advisorcensus.com/firm/romain-walsh-clerou-professional-investment-mgmt-sonoma-ca-111081",
  "display_name": "Romain Walsh Clerou Professional Investment MGMT",
  "summary": "Romain Walsh Clerou Professional Investment MGMT is an SEC-registered investment advisory firm in Sonoma, CA, registered since 2019, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 9, 2026.",
  "citation": "AdvisorCensus. Romain Walsh Clerou Professional Investment MGMT (CRD 111081): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Romain Walsh Clerou Professional Investment MGMT compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Romain Walsh Clerou Professional Investment MGMT reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "What does Romain Walsh Clerou Professional Investment MGMT's brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated March 9, 2026 states: Asset-based fee: 0.7% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Romain Walsh Clerou Professional Investment MGMT located?",
      "a": "Romain Walsh Clerou Professional Investment MGMT's principal office is in Sonoma, CA, according to its Form ADV."
    },
    {
      "q": "Is Romain Walsh Clerou Professional Investment MGMT registered with the SEC or a state?",
      "a": "Romain Walsh Clerou Professional Investment MGMT is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 111081."
    },
    {
      "q": "How much does Romain Walsh Clerou Professional Investment MGMT manage?",
      "a": "Romain Walsh Clerou Professional Investment MGMT reports $218,943,043 in regulatory assets under management in its Form ADV filing dated March 9, 2026 (100% discretionary)."
    },
    {
      "q": "How have Romain Walsh Clerou Professional Investment MGMT's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Romain Walsh Clerou Professional Investment MGMT: Regulatory assets under management: $142,308,680 in the October 2021 data and $218,943,043 in the October 2026 data, up 54%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Romain Walsh Clerou Professional Investment MGMT serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (33); individuals (other than high net worth individuals) (9)."
    },
    {
      "q": "Which custodians does Romain Walsh Clerou Professional Investment MGMT use?",
      "a": "Romain Walsh Clerou Professional Investment MGMT's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Romain Walsh Clerou Professional Investment MGMT 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/111081"
    },
    {
      "q": "Does Romain Walsh Clerou Professional Investment MGMT state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 9, 2026 says: \"RWC has a minimum account value requirement for prospective clients of $1,000,000 although RWC will consider the potential for growth when evaluating a prospective client.\""
    },
    {
      "q": "What changed in Romain Walsh Clerou Professional Investment MGMT's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $187,036,420 to $218,943,043 (+17%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 142308680.0,
      "total_employees": 1,
      "filing_date": "2021-03-10"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 175423399.0,
      "total_employees": 1,
      "filing_date": "2022-03-18"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 143910377.0,
      "total_employees": 1,
      "filing_date": "2023-03-06"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 163240756.0,
      "total_employees": 1,
      "filing_date": "2024-03-08"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 187036420.0,
      "total_employees": 1,
      "filing_date": "2025-03-21"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 218943043.0,
      "total_employees": 1,
      "filing_date": "2026-03-09"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $187,036,420 to $218,943,043 (+17%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 9, 2026",
    "tiers": [],
    "flat_rate": "0.7% of assets a year",
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$1,000,000",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 0.7% of assets a year"
        ],
        "quotes": [
          "RWC charges a flat fee for services that is based solely on the assets under management. The flat fee is 0.70% (seven-tenths of a percent) per annum."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $1,000,000"
        ],
        "quotes": [
          "RWC has a minimum account value requirement for prospective clients of $1,000,000 although RWC will consider the potential for growth when evaluating a prospective client."
        ]
      }
    ],
    "quotes": [
      "RWC charges a flat fee for services that is based solely on the assets under management. The flat fee is 0.70% (seven-tenths of a percent) per annum.",
      "RWC has a minimum account value requirement for prospective clients of $1,000,000 although RWC will consider the potential for growth when evaluating a prospective client."
    ],
    "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
    }
  ],
  "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/romain-walsh-clerou-professional-investment-mgmt-sonoma-ca-111081.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 9,
      "fewer_than_5": false,
      "raum": 1717427.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 33,
      "fewer_than_5": false,
      "raum": 217225616.0
    }
  ],
  "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/111081",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}