Soares Financial, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$21,015,039
Total clients
18
44% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
18
Average account size
$1,167,502
About
Soares Financial is an independent, single-advisor registered investment adviser that primarily serves individual clients with discretionary portfolio management, financial planning, and standalone portfolio analysis. The firm reports about $21 million in discretionary assets under management across a very small client base.
The firm's investment process emphasizes fundamental analysis in selecting mutual funds and exchange-traded funds and aligns asset allocation with each client’s risk tolerance and time horizon, with periodic rebalancing and account reporting. Management is generally discretionary, custody and trade execution are handled through a major independent custodian, and the firm limits its investment selections largely to no-load mutual funds and ETFs rather than individual equities.
A noteworthy aspect of the firm is that, in addition to typical individual clients, it offers portfolio management to institutional clients — a service that is uncommon for firms of this size and structure. The firm operates with a single adviser who holds both CPA and CFP credentials, manages a small number of accounts (18), and reports making relatively few trades and seldom aggregating orders, which may affect trade execution and operations.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
General tax planning
College savings (529s, UTMA, etc.)
Fee options
$260 - $20,000 per year for advisory services; $250 - $10,000 for financial planning
$0 - $1,000,000: 0.90% annually $1,000,001 - $2,000,000: 0.45% annually $2,000,001+: 0.30% annually
Up to $260 per hour for advisory services; up to $250 per hour for financial planning and portfolio analysis
Account minimum: $250,000 Minimum fee: $500 minimum quarterly fee Fee-only: Hourly fee up to $260; flat fee range $260 - $20,000 for advisory services; hourly fee up to $250 and flat fee range $250 - $10,000 for financial planning; hourly fee up to $250 for portfolio analysis
Main office location
Soares Financial, Inc.
1832 Socol Ave., #106
Napa CA 94559, United States
Number of offices
1
Most active in
Soares Financial, Inc. has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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