# Sonoma Allocations

> Sonoma Allocations is an SEC-registered investment advisory firm in Santa Rosa, CA, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 16, 2026.

- CRD: 335435
- Filed as: SONOMA ALLOCATIONS
- Legal name: Sonoma Allocations LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Santa Rosa, CA
- Filing period: October 2026
- Form ADV filing dated: April 16, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/335435
- AdvisorCensus page: https://advisorcensus.com/firm/sonoma-allocations-santa-rosa-ca-335435

## Quick answers

**How is Sonoma Allocations compensated?**
On its Form ADV (Item 5.E, October 2026), Sonoma Allocations reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Where is Sonoma Allocations located?**
Sonoma Allocations' principal office is in Santa Rosa, CA, according to its Form ADV; the May 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Sonoma Allocations registered with the SEC or a state?**
Sonoma Allocations is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 335435.

**How much does Sonoma Allocations manage?**
Sonoma Allocations reports $350,000,000 in regulatory assets under management in its Form ADV filing dated April 16, 2026 (100% discretionary).

**How have Sonoma Allocations' assets and staff changed since 2025?**
In the Form ADV data for Sonoma Allocations: Regulatory assets under management: $0 in the October 2025 data and $350,000,000 in the October 2026 data. Total employees: 2 in October 2025 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Sonoma Allocations serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (190); individuals (other than high net worth individuals) (138); charitable organizations (2).

**Which custodians does Sonoma Allocations use?**
Sonoma Allocations' 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.

**Does Sonoma Allocations 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/335435

**Does Sonoma Allocations state an account minimum?**
Its Form ADV Part 2A brochure dated February 3, 2026 says: "There is an account minimum of $500,000, which may be waived by Sonoma Allocations in its discretion."

**What changed in Sonoma Allocations' recent Form ADV filings?**
In the May 2026 filing data: Employees performing advisory functions went from 4 to 3.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated February 3, 2026)

- Account minimum: $500,000 (the brochure says it may be waived or negotiated)

> There is an account minimum of $500,000, which may be waived by Sonoma Allocations in its discretion.

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.

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: $350,000,000
- Discretionary: $350,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 138 | $148,362,293 |
| High net worth individuals | 190 | $190,241,403 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 2 | $6,261,304 |
| State or municipal government entities (including government pension plans) | 1 | $4,120,000 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 1 | $1,015,000 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2025 (1 year)
- Employees: 4 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, 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 May 2026 filing
- Sonoma, CA

### Websites listed on Form ADV (Item 1.I)
- sonomaallocations.com
- LinkedIn @sonoma-allocations-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $0 | 2 | May 13, 2025 |
| October 2026 | $350,000,000 | 4 | April 16, 2026 |

Regulatory assets under management: $0 in the October 2025 data and $350,000,000 in the October 2026 data.
Total employees: 2 in October 2025 and 4 in October 2026.

## Changes in the filing (last 12 months)

### May 2026
- Employees performing advisory functions went from 4 to 3.

### March 2026
- Regulatory assets under management went from $308,000,000 to $350,000,000 (+14%).
- Added an office in Sonoma, CA.

### December 2025
- Regulatory assets under management went from $0 to $308,000,000.
- Employees performing advisory functions went from 2 to 4.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sonoma Allocations (CRD 335435): Form ADV filing data as of October 2026.