{ "crd_number": 310448, "slug": "seasons-of-advice-wealth-management-new-york-ny-310448", "primary_business_name": "SEASONS OF ADVICE WEALTH MANAGEMENT", "legal_name": "SOA WEALTH ADVISORS, LLC", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2020-10-20", "years_registered": 5, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 1216853300.0, "raum_discretionary": 1147365011.0, "raum_non_discretionary": 69488289.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 20, "advisory_employees": 12, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 164286527.0, "count": 523 }, "high_net_worth_individuals": { "raum": 1052566773.0, "count": 368 } }, "compensation_types": [ "fixed", "other", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "other", "portfolio_management_individuals" ], "wrap_fee_participant": true, "disclosure_yes_count": 0, "states_registered": [ "AZ", "CA", "CO", "CT", "DC", "FL", "IL", "IN", "MA", "MD", "MN", "NC", "NH", "NJ", "NY", "OH", "OR", "PA", "SC", "TX", "VT" ], "websites": [ "https://facebook.com/soawealth", "https://focusfinancialpartners.com", "https://instagram.com/soawealth", "https://linkedin.com/company/focus-financial-partners", "https://linkedin.com/company/seasons-of-advice-wealth-management-llc", "https://soaplanning.com", "https://soawealth.com", "https://twitter.com/SOAWealth", "https://twitter.com/focusfinancial" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/310448", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/seasons-of-advice-wealth-management-new-york-ny-310448", "display_name": "Seasons of Advice Wealth Management", "summary": "Seasons of Advice Wealth Management is an SEC-registered investment advisory firm in New York, NY, registered since 2020, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Seasons of Advice Wealth Management (CRD 310448): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Other" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Other" ], "quick_answers": [ { "q": "How is Seasons of Advice Wealth Management compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Seasons of Advice Wealth Management reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); other." }, { "q": "Where is Seasons of Advice Wealth Management located?", "a": "Seasons of Advice Wealth Management's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Seasons of Advice Wealth Management registered with the SEC or a state?", "a": "Seasons of Advice Wealth Management is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 310448." }, { "q": "How much does Seasons of Advice Wealth Management manage?", "a": "Seasons of Advice Wealth Management reports $1,216,853,300 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (94% discretionary)." }, { "q": "How have Seasons of Advice Wealth Management's assets and staff changed since 2021?", "a": "In the Form ADV data for Seasons of Advice Wealth Management: Regulatory assets under management: $805,209,614 in the October 2021 data and $1,216,853,300 in the October 2026 data, up 51%. Total employees: 18 in October 2021 and 20 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Seasons of Advice Wealth Management serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (523); high net worth individuals (368)." }, { "q": "Which custodians does Seasons of Advice Wealth Management use?", "a": "Seasons of Advice Wealth Management'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 Seasons of Advice Wealth Management 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/310448" }, { "q": "What changed in Seasons of Advice Wealth Management's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $1,061,108,098 to $1,216,853,300 (+15%). Registered or notice-filed in IN, MN, OH, OR." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 805209614.0, "total_employees": 18, "filing_date": "2021-07-22" }, { "period": "2022-10-01", "regulatory_assets_under_management": 944111406.0, "total_employees": 19, "filing_date": "2022-03-29" }, { "period": "2023-10-01", "regulatory_assets_under_management": 789278035.0, "total_employees": 20, "filing_date": "2023-09-29" }, { "period": "2024-10-01", "regulatory_assets_under_management": 1030249176.0, "total_employees": 20, "filing_date": "2024-09-06" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1061108098.0, "total_employees": 21, "filing_date": "2025-03-28" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1216853300.0, "total_employees": 20, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $1,061,108,098 to $1,216,853,300 (+15%).", "Registered or notice-filed in IN, MN, OH, OR." ] } ], "fees_from_brochure": null, "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/seasons-of-advice-wealth-management-new-york-ny-310448.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 523, "fewer_than_5": false, "raum": 164286527.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 368, "fewer_than_5": false, "raum": 1052566773.0 } ], "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/310448", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }