SoHo Financial Services, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$1,300,000
Clients
2
100% high-net-worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
2
Very LowAverage account size
$650,000
About
SoHo Financial Services provides discretionary investment advisory and portfolio management services to a mix of individual clients (including high-net-worth) as well as charitable organizations, corporations and institutional clients. Offerings described in the brochure include individualized portfolio management, model portfolio strategies, and focused consulting on topics such as retirement and estate planning.
The firm’s investment process combines asset-allocation model portfolios (the brochure lists SFS Fixed Income, SFS Income, SFS Balanced, SFS Growth & Income and SFS Equity) with fundamental, technical, quantitative and qualitative analyses, and accounts are monitored and reviewed on a regular basis with opportunities for clients to impose reasonable investment restrictions. Clients retain ownership of securities and custodians hold assets; account supervision is performed on a discretionary basis in line with stated objectives and tax considerations.
What is distinctive for this independent advisory practice is the combination of institutional portfolio management and formal consulting engagements alongside typical individual advisory services, a mix that is less common among similar small independent firms. The brochure also discloses affiliated family and asset-management entities and a proxy policy under which the firm does not vote client securities, leaving voting and related decisions to clients.
Client services
Portfolio management
Financial consulting services
Expertise
Options & derivatives strategies
Real estate investing
Fee options
Consulting Services fees typically range from $50,000 to $200,000 based on the arrangement
$0 - $1,000,000: 1.50% $1,000,001+: 1.00%
Account minimum: $1,000,000
Main office location
SoHo Financial Services, LLC
1187 Coast Village Road, Suite 546
Montecito CA 93108, United States
Number of offices
2
Most active in
SoHo Financial Services, LLC 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:
-
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.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
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.
-
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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