{
  "crd_number": 120056,
  "slug": "soares-financial-inc-napa-ca-120056",
  "primary_business_name": "SOARES FINANCIAL, INC.",
  "legal_name": "SOARES FINANCIAL, INC.",
  "dbas": [],
  "city": "Napa",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "34900",
  "metro": {
    "cbsa_code": "34900",
    "common_name": "Napa",
    "msa_name": "Napa, CA",
    "path": "/advisors/ca/napa"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2002-06-03",
  "years_registered": 24,
  "period": "2026-10-01",
  "filing_date": "2026-03-27",
  "carried_forward": false,
  "raum_total": 21015039.0,
  "raum_discretionary": 21015039.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 4920192.0,
      "count": 10
    },
    "high_net_worth_individuals": {
      "raum": 16094847.0,
      "count": 8
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA"
  ],
  "websites": [
    "https://soaresfinancial.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/120056",
  "city_as_filed": "NAPA",
  "url": "https://advisorcensus.com/firm/soares-financial-inc-napa-ca-120056",
  "display_name": "Soares Financial, Inc.",
  "summary": "Soares Financial, Inc. is a state-registered investment advisory firm in Napa, CA, registered since 2002, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 27, 2026.",
  "citation": "AdvisorCensus. Soares Financial, Inc. (CRD 120056): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-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",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Soares Financial, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Soares Financial, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Soares Financial, Inc. located?",
      "a": "Soares Financial, Inc.'s principal office is in Napa, CA, according to its Form ADV."
    },
    {
      "q": "Is Soares Financial, Inc. registered with the SEC or a state?",
      "a": "Soares Financial, Inc. is a state-registered investment advisory firm, registered since 2002. Status as filed: APPROVED. CRD 120056."
    },
    {
      "q": "How much does Soares Financial, Inc. manage?",
      "a": "Soares Financial, Inc. reports $21,015,039 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Soares Financial, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (10); high net worth individuals (8)."
    },
    {
      "q": "Does Soares Financial, Inc. report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/120056"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/soares-financial-inc-napa-ca-120056.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 10,
      "fewer_than_5": false,
      "raum": 4920192.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 8,
      "fewer_than_5": false,
      "raum": 16094847.0
    }
  ],
  "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/120056",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}