Hedge Fund Database

SWEENEY & MICHEL, LLC

Adviser information for SWEENEY & MICHEL, LLC last updated from Form ADV on March 12th, 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 Limited Liability Company
Fiscal Year End DECEMBER
Legal Location California, United States

Employees

Total Number of Employees 6
Investment Advisory/Research 4
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 4
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,544 $508.8M
Non-Discretionary 58 $48.8M
Total 1,602 $557.5M

Clients

Type Number RAUM
Individuals 775 $154.6M
HNW Individuals 107 $302.1M
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 25 $45.7M
Charitable organizations 5 $17.8M
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 27 $37.3M
Other 0 $0
Type Number
No. of Non-RAUM Clients 2
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting services
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 487.0M
Portfolio Manager to Program Sponsor
SWEENEY & MICHEL WRAP FEE PROGRAM SWEENEY & MICHEL, LLC

Identifiers

SEC RIA File Number 801-113350
SEC ERA File Number 801-113350
SEC CIK Numbers 1979556
SEC CRD Numbers 282595
Legal Entity Identifier None

Principal Office

196 COHASSET ROAD
SUITE 100
CHICO
CA
United States
Monday - Friday, 8:00 AM - 3:00 PM MONDAY - THURSDAY, 8:00 AM - 2:00 PM FRIDAY
Tel: (530) 487-1777, Fax: (530) 487-4747

Websites

www.instagram.com/sweeney_michel_chico/ www.youtube.com/channel/uclqw8iy1w9sp5gh3f-q2kba www.linkedin.com/in/reneemichelmba sweeneymichel.com/ www.linkedin.com/in/joedsweeney www.linkedin.com/in/brian-sweeney-0301bb4a www.facebook.com/sweeneymichel

Chief Compliance Officer

RENEE MICHEL
MANAGING MEMBER
196 COHASSET ROAD
SUITE 100
CHICO
CA
United States
Tel: (530) 487-1777
Fax: (530) 487-4747
(Full email address available in API data)

Regulatory Contact

KATIE JUNK
FINANCIAL ADVISOR & PARAPLANNER
196 COHASSET ROAD
SUITE 100
CHICO
CA
United States
Tel: (530) 487-1777
Fax: (530) 487-4747
(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
MICHEL, RENEE, ANN Individual – MANAGING MEMBER/CHIEF COMPLIANCE OFFICER 03/2016 50-75%
SWEENEY, JOSEPH, DANIEL Individual – MANAGING MEMBER 03/2016 50-75%

No. Employees, Historic

105020192020202120222023202420255 on 5/15/20195 on 6/27/20195 on 7/24/20195 on 10/8/20194 on 3/3/20204 on 5/27/20204 on 9/15/20204 on 10/27/20204 on 3/3/20214 on 5/20/20214 on 6/24/20214 on 11/9/20214 on 3/14/20224 on 3/21/20234 on 11/16/20236 on 3/12/2024

RAUM, Historic

600M300M02019202020212022202320242025306857857 on 5/15/2019306857857 on 6/27/2019306857857 on 7/24/2019306857857 on 10/8/2019385696237 on 3/3/2020385696237 on 5/27/2020385696237 on 9/15/2020385696237 on 10/27/2020425273006 on 3/3/2021425273006 on 5/20/2021425273006 on 6/24/2021425273006 on 11/9/2021492788712 on 3/14/2022423475721 on 3/21/2023423475721 on 11/16/2023557532281 on 3/12/2024

No. Clients, Historic

1,00050002019202020212022202320242025808 on 5/15/2019808 on 6/27/2019808 on 7/24/2019808 on 10/8/2019647 on 3/3/2020647 on 5/27/2020647 on 9/15/2020647 on 10/27/2020701 on 3/3/2021701 on 5/20/2021701 on 6/24/2021701 on 11/9/2021774 on 3/14/2022519 on 3/21/2023519 on 11/16/2023939 on 3/12/2024

Holdings

From latest 13F, filed July 10th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 223K 2K 0
ABBVIE INC COM 2M 9K 0
ADOBE INC COM 205K 362 0
AIRBNB INC COM CL A 305K 2K 0
ALLSTATE CORP COM 238K 2K 0
ALPHABET INC CAP STK CL C 13M 66K 0
ALPS ETF TR SECTR DIV DOGS 398K 8K 0
AMAZON COM INC COM 3M 13K 0
AMGEN INC COM 2M 5K 0
APPLE INC COM 17M 72K 0
ASML HOLDING N V N Y REGISTRY SHS 759K 716 0
AT&T INC COM 360K 19K 0
BANK AMERICA CORP COM 1M 33K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 8M 20K 0
BLACKSTONE INC COM 812K 7K 0
BONDBLOXX ETF TRUST BLOOMBERG SIX MN 464K 9K 0
CAPITAL GROUP DIVIDEND GROWE SHS ETF 8M 269K 0
CAPITAL GROUP GBL GROWTH EQT SHS CREATION UNI 1M 42K 0
CAPITAL GROUP INTERNATIONAL SHS 5M 171K 0
CATERPILLAR INC COM 499K 2K 0
CHEVRON CORP NEW COM 537K 4K 0
COHEN & STEERS QUALITY INCOM COM 681K 58K 0
COMCAST CORP NEW CL A 643K 17K 0
COSTCO WHSL CORP NEW COM 3M 3K 0
CUMMINS INC COM 277K 1K 0
DEERE & CO COM 459K 1K 0
EXXON MOBIL CORP COM 439K 4K 0
FEDEX CORP COM 1M 4K 0
FIDELITY COVINGTON TRUST MSCI ENERGY IDX 252K 10K 0
FIDELITY COVINGTON TRUST MSCI UTILS INDEX 729K 16K 0
FIDELITY COVINGTON TRUST MSCI MATLS INDEX 303K 6K 0
FIDELITY COVINGTON TRUST MSCI INFO TECH I 1M 6K 0
FIDELITY COVINGTON TRUST HIGH DIVID ETF 979K 21K 0
FIDELITY COVINGTON TRUST CONSMR STAPLES 817K 17K 0
FIDELITY WISE ORIGIN BITCOIN SHS 417K 8K 0
GE AEROSPACE COM NEW 207K 1K 0
HDFC BANK LTD SPONSORED ADS 319K 5K 0
HOME DEPOT INC COM 363K 1K 0
INVESCO EXCH TRADED FD TR II CALIF AMT MUN 447K 18K 0
INVESCO QQQ TR UNIT SER 1 286K 575 0
ISHARES INC EM MKTS DIV ETF 551K 20K 0
ISHARES INC CORE MSCI EMKT 5M 99K 0
ISHARES TR ISHARES SEMICDTR 357K 1K 0
ISHARES TR CORE S&P US GWT 1M 11K 0
ISHARES TR PFD AND INCM SEC 446K 14K 0
ISHARES TR CORE S&P US VLU 423K 5K 0
ISHARES TR MSCI EAFE MIN VL 717K 10K 0
ISHARES TR CORE S&P TTL STK 21M 170K 0
ISHARES TR CORE DIV GRWTH 20M 355K 0
ISHARES TR INTL DIV GRWTH 920K 13K 0
ISHARES TR ESG MSCI LEADR 367K 4K 0
ISHARES TR MSCI USA MIN VOL 1M 17K 0
ISHARES TR CORE S&P SCP ETF 928K 9K 0
ISHARES TR ISHS 1-5YR INVS 1M 27K 0
ISHARES TR CORE S&P MCP ETF 829K 14K 0
ISHARES TR MSCI INTL QUALTY 1M 26K 0
ISHARES TR MSCI USA MMENTM 2M 11K 0
ISHARES TR CORE HIGH DV ETF 15M 137K 0
ISHARES TR 0-5YR HI YL CP 10M 225K 0
ISHARES TR EXPONENTIAL TECH 2M 36K 0
JOHNSON & JOHNSON COM 5M 35K 0
JPMORGAN CHASE & CO. COM 4M 21K 0
KKR & CO INC COM 499K 5K 0
KRAFT HEINZ CO COM 366K 11K 0
LULUS FASHION LOUNGE HOLDING COM 88K 51K 0
MCDONALDS CORP COM 449K 2K 0
MCKESSON CORP COM 529K 901 0
MERCK & CO INC COM 838K 7K 0
META PLATFORMS INC CL A 841K 2K 0
METLIFE INC COM 451K 6K 0
MICROSOFT CORP COM 7M 16K 0
NUVEEN CALIFORNIA MUNI VLU F COM STK 770K 88K 0
NVIDIA CORPORATION COM 2M 15K 0
PALANTIR TECHNOLOGIES INC CL A 238K 9K 0
PEPSICO INC COM 681K 4K 0
PHILIP MORRIS INTL INC COM 316K 3K 0
PROCTER AND GAMBLE CO COM 858K 5K 0
PROLOGIS INC. COM 2M 22K 0
QUALCOMM INC COM 921K 4K 0
SCHWAB CHARLES CORP COM 388K 5K 0
SELECT SECTOR SPDR TR TECHNOLOGY 1M 5K 0
SHELL PLC SPON ADS 3M 46K 0
SPDR GOLD TR GOLD SHS 766K 4K 0
SPDR S&P 500 ETF TR TR UNIT 234K 422 0
STARBUCKS CORP COM 404K 6K 0
TESLA INC COM 420K 2K 0
TRICO BANCSHARES COM 5M 133K 0
UNION PAC CORP COM 588K 3K 0
UNITED PARCEL SERVICE INC CL B 355K 3K 0
VANECK ETF TRUST SEMICONDUCTR ETF 234K 850 0
VANGUARD CALIF TAX FREE FDS TAX EXEMPT BD FD 201K 2K 0
VANGUARD INDEX FDS TOTAL STK MKT 1M 4K 0
VANGUARD INDEX FDS REAL ESTATE ETF 1M 13K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 262K 513 0
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 328K 4K 0
VANGUARD SCOTTSDALE FDS INT-TERM CORP 271K 3K 0
VANGUARD SPECIALIZED FUNDS DIV APP ETF 2M 10K 0
VANGUARD WHITEHALL FDS INTL DVD ETF 6M 70K 0
VANGUARD WHITEHALL FDS HIGH DIV YLD 4M 36K 0
VANGUARD WHITEHALL FDS INTL HIGH ETF 6M 82K 0
VANGUARD WORLD FD INF TECH ETF 443K 739 0
VANGUARD WORLD FD CONSUM STP ETF 1M 5K 0
VANGUARD WORLD FD HEALTH CAR ETF 341K 1K 0
VANGUARD WORLD FD UTILITIES ETF 697K 5K 0
VERIZON COMMUNICATIONS INC COM 4M 100K 0
VISA INC COM CL A 456K 2K 0
WALMART INC COM 500K 7K 0
WASTE MGMT INC DEL COM 210K 1K 0
WD 40 CO COM 226K 1K 0
WELLS FARGO CO NEW COM 1M 22K 0
WESTERN COPPER & GOLD CORP COM 92K 78K 0
WISDOMTREE TR ARTIFICIAL INTEL 335K 16K 0