{
  "crd_number": 313667,
  "slug": "sophos-wealth-management-313667",
  "primary_business_name": "SOPHOS WEALTH MANAGEMENT",
  "legal_name": "SOPHOS WEALTH MANAGEMENT, LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2021-03-31",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-03-05",
  "carried_forward": false,
  "raum_total": 17500000.0,
  "raum_discretionary": 17500000.0,
  "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": 4200000.0,
      "count": 12
    },
    "high_net_worth_individuals": {
      "raum": 13300000.0,
      "count": 6
    }
  },
  "compensation_types": [
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [
    "WA"
  ],
  "websites": [
    "https://facebook.com/SophosWealth",
    "https://linkedin.com/in/scottcaufieldcfacpa",
    "https://sophoswm.com",
    "https://twitter.com/S_Caufield",
    "https://youtube.com/@sophoswealthmanagement"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/313667",
  "listing_state": "WA",
  "disclosure_items": [
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    }
  ],
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/sophos-wealth-management-313667",
  "display_name": "Sophos Wealth Management",
  "summary": "Sophos Wealth Management is a state-registered investment advisory firm, registered since 2021, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 5, 2026.",
  "citation": "AdvisorCensus. Sophos Wealth Management (CRD 313667): 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"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Sophos Wealth Management compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Sophos Wealth Management reports these compensation arrangements: a percentage of assets under its management; hourly charges. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Is Sophos Wealth Management registered with the SEC or a state?",
      "a": "Sophos Wealth Management is a state-registered investment advisory firm, registered since 2021. Status as filed: APPROVED. CRD 313667."
    },
    {
      "q": "How much does Sophos Wealth Management manage?",
      "a": "Sophos Wealth Management reports $17,500,000 in regulatory assets under management in its Form ADV filing dated March 5, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Sophos Wealth Management serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (12); high net worth individuals (6)."
    },
    {
      "q": "Does Sophos Wealth Management report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.A(2) (felony charge in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/313667"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/sophos-wealth-management-313667.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 12,
      "fewer_than_5": false,
      "raum": 4200000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 6,
      "fewer_than_5": false,
      "raum": 13300000.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "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/313667",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}