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SONOMA ALLOCATIONS
Legal name: SONOMA ALLOCATIONS LLC
CRD 335435File 801-132529
APPROVED
Retail clients
Filing as of Apr 16, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$350.0M
Below cohort median (national)
Discretionary AUM
$350.0M
Clients
332
902 accounts
Employees
4
Below cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Apr 24, 2025
- Principal office
- 50 OLD COURTHOUSE SQUARE, SUITE 300, SANTA ROSA, CA, 95404
- Phone
- 707-490-8842
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $350.0M
- Discretionary AUM
- $350.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 902
- Non-discretionary accounts
- 0
- Total accounts
- 902
- AUM per client
- $1.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $1.0M |
| Charitable organizations | Fewer than 5 | $6.3M |
| High net worth individuals | 190 | $190.2M |
| State or municipal government entities | Fewer than 5 | $4.1M |
| Individuals (other than high net worth individuals) | 138 | $148.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| May 1, 2026 | Employees | 5 | 4 | decreased by1 |
| Mar 1, 2026 | Clients | 313 | 332 | increased by19 |
| Mar 1, 2026 | AUM | $308,000,000 | $350,000,000 | increased by$42,000,000 |
| Mar 1, 2026 | Accounts | 815 | 902 | increased by87 |
| Dec 1, 2025 vs May 1, 2025 | Registration | APPROVED-120 | APPROVED | |
| Dec 1, 2025 vs May 1, 2025 | Employees | 2 | 5 | increased by3 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $0 | $308,000,000 | increased by$308,000,000 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 0 | 815 | increased by815 |
| May 1, 2025 | Registration | — | APPROVED-120 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SONOMA ALLOCATIONS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SONOMA ALLOCATIONS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.