{ "crd_number": 131068, "slug": "snow-financial-management-llc-131068", "primary_business_name": "SNOW FINANCIAL MANAGEMENT, LLC", "legal_name": "SNOW FINANCIAL MANAGEMENT, LLC", "dbas": [], "city": null, "state": null, "country": null, "cbsa_code": null, "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2004-07-23", "years_registered": 22, "period": "2026-10-01", "filing_date": "2026-03-28", "carried_forward": false, "raum_total": 97568392.0, "raum_discretionary": 97568392.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 4, "advisory_employees": 3, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 5162964.0, "count": 15 }, "high_net_worth_individuals": { "raum": 92405428.0, "count": 35 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA", "FL", "NY" ], "websites": [ "https://snowfinancialmanagement.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/131068", "city_as_filed": null, "url": "https://advisorcensus.com/firm/snow-financial-management-llc-131068", "display_name": "Snow Financial Management, LLC", "summary": "Snow Financial Management, LLC is an SEC-registered investment advisory firm, registered since 2004, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 28, 2026.", "citation": "AdvisorCensus. Snow Financial Management, LLC (CRD 131068): 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 Snow Financial Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Snow Financial Management, LLC reports these compensation arrangements: a percentage of assets under its management." }, { "q": "How much does Snow Financial Management, LLC charge?", "a": "Its Form ADV Part 2A brochure dated March 28, 2026 states: Asset-based fee: 0.35% to 2% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Is Snow Financial Management, LLC registered with the SEC or a state?", "a": "Snow Financial Management, LLC is an SEC-registered investment advisory firm, registered since 2004. Status as filed: Approved. CRD 131068." }, { "q": "How much does Snow Financial Management, LLC manage?", "a": "Snow Financial Management, LLC reports $97,568,392 in regulatory assets under management in its Form ADV filing dated March 28, 2026 (100% discretionary)." }, { "q": "How have Snow Financial Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Snow Financial Management, LLC: Regulatory assets under management: $113,864,791 in the October 2021 data and $97,568,392 in the October 2026 data, down 14%. Total employees: 4 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Snow Financial Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (35); individuals (other than high net worth individuals) (15)." }, { "q": "Which custodians does Snow Financial Management, LLC use?", "a": "Snow Financial Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Snow Financial 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/131068" }, { "q": "Does Snow Financial Management, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 28, 2026 says: \"SFM requires each client to place at least $ 500,000 with the firm. This minimum may be waived at the discretion of SFM.\"" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 113864791.0, "total_employees": 4, "filing_date": "2021-03-04" }, { "period": "2022-10-01", "regulatory_assets_under_management": 114459350.0, "total_employees": 4, "filing_date": "2022-04-13" }, { "period": "2023-10-01", "regulatory_assets_under_management": 97395494.0, "total_employees": 4, "filing_date": "2023-03-23" }, { "period": "2024-10-01", "regulatory_assets_under_management": 89121120.0, "total_employees": 4, "filing_date": "2024-03-17" }, { "period": "2025-10-01", "regulatory_assets_under_management": 98616898.0, "total_employees": 4, "filing_date": "2025-03-12" }, { "period": "2026-10-01", "regulatory_assets_under_management": 97568392.0, "total_employees": 4, "filing_date": "2026-03-28" } ], "recent_changes": [], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 28, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": "0.35% to 2% a year", "stated_maximum": null, "account_minimum": "$500,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: 0.35% to 2% a year (a range, as the brochure states it)" ], "quotes": [ "Generally, fees vary from 0. 35% to 2.00% per annum of the market value of a client’s assets managed by SFM." ] }, { "label": "Account minimum", "statements": [ "Account minimum: $500,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "SFM requires each client to place at least $ 500,000 with the firm. This minimum may be waived at the discretion of SFM." ] } ], "values": { "tiers": [], "range_pct": [ 0.35, 2.0 ], "max_pct": null, "account_minimum": 500000.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "Generally, fees vary from 0. 35% to 2.00% per annum of the market value of a client’s assets managed by SFM.", "SFM requires each client to place at least $ 500,000 with the firm. This minimum may be waived at the discretion of SFM." ], "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": "Fidelity Brokerage Services LLC", "name_as_filed": "FIDELITY BROKERAGE SERVICES 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/snow-financial-management-llc-131068.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 15, "fewer_than_5": false, "raum": 5162964.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 35, "fewer_than_5": false, "raum": 92405428.0 } ], "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/131068", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }