Soares Financial, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
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
1832 Socol Ave., #106
Napa CA 94559
Advisors at this office
1
Most active in
California
Also doing business as
Soares Financial Advisory Services, Inc. · Soares Financial, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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