# Sophos Wealth Management

> 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.

- CRD: 313667
- Filed as: SOPHOS WEALTH MANAGEMENT
- Legal name: Sophos Wealth Management, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Washington
- Filing period: October 2026
- Form ADV filing dated: March 5, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/313667
- AdvisorCensus page: https://advisorcensus.com/firm/sophos-wealth-management-313667

## Quick answers

**How is Sophos Wealth Management compensated?**
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.

**Is Sophos Wealth Management registered with the SEC or a state?**
Sophos Wealth Management is a state-registered investment advisory firm, registered since 2021. Status as filed: APPROVED. CRD 313667.

**How much does Sophos Wealth Management manage?**
Sophos Wealth Management reports $17,500,000 in regulatory assets under management in its Form ADV filing dated March 5, 2026 (100% discretionary).

**What types of clients does Sophos Wealth Management serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (12); high net worth individuals (6).

**Does Sophos Wealth Management report any disciplinary disclosures?**
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

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Regulatory assets under management (Item 5.F)
- Total: $17,500,000
- Discretionary: $17,500,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 12 | $4,200,000 |
| High net worth individuals | 6 | $13,300,000 |

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

### Firm details
- Registered since: 2021 (5 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: WA
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.A(2): In the past ten years, has the firm or an advisory affiliate been charged with a felony?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/313667

### Websites listed on Form ADV (Item 1.I)
- sophoswm.com
- Facebook @SophosWealth
- LinkedIn @scottcaufieldcfacpa
- X @S_Caufield
- YouTube @sophoswealthmanagement

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sophos Wealth Management (CRD 313667): Form ADV filing data as of October 2026.