NAPA WEALTH MANAGEMENT
NAPA WEALTH MANAGEMENT, INCORPORATED Legal Name
Adviser information for NAPA WEALTH MANAGEMENT last updated from Form ADV on March 4th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 222 | $232.1M |
| Non-Discretionary | 0 | $0 |
| Total | 222 | $232.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 143 | $56.0M |
| HNW Individuals | 74 | $172.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 5 | $3.6M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshopsFINANCIAL CONSULTING |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-106825 |
|---|---|
| SEC ERA File Number | 801-106825 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 137724 |
| Legal Entity Identifier | None |
Principal Office
1836 SECOND STREETNAPA
CA
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M. ON MON.-THURS.; FRI. BY APPOINTMENT ONLY
Tel: (707) 252-1343, Fax: (707) 252-2891
Chief Compliance Officer
GEORGE MCCUEN
PRESIDENT
1836 SECOND STREET
NAPA
CA
United States
Tel:
(707) 252-1343
Fax:
(707) 252-2891
G*****@*************M
(Full email address available in API data)
Regulatory Contact
PATRICK MCCUEN
DIRECTOR OF RETIREMENT PLANNING
1836 SECOND STREET
NAPA
CA
United States
Tel:
(707) 252-1343
Fax:
(707) 252-2891
P******@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCCUEN, GEORGE, PAUL | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 08/1997 | 50-75% |
| AYLES, TIMOTHY, LEE | Individual | – | CHIEF INVESTMENT OFFICER | 04/2008 | < 5% |
| MCCUEN, MARIA, DIANNE | Individual | – | OWNER | 08/1998 | 50-75% |