Napa Valley Wealth Management, Inc. (St. Helena)

Name: Napa Valley Wealth Management, Inc.
Address: 1127 Pope Street, St. Helena, CA, 94574
Telephone: 707-963-5096

Napa Valley Wealth Management, Inc. is a large advisory firm based in St. Helena. It manages $216.26 million of regulatory assets for 338 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdiction of California.

Napa Valley Wealth Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Napa Valley Wealth Management: assets under management

The assets under management (AUM) of Napa Valley Wealth Management, Inc. is $216.26 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 52% since the beginning of its operation, and $514 of the total AUM is attributable to clients outside of the United States.

The firm manages $216.26 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $639.82 thousand each.

Investments

The firm invests in investment and business development companies the most. They account for 48% of the total AUM. The second-largest asset type is exchange traded securities, which make up 47% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Napa Valley Wealth Management, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Napa Valley Wealth Management serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Napa Valley Wealth Management is high net worth individuals with 88 clients and $143.04 million of assets under management. Among the 8 most similar advisory firms, Napa Valley Wealth Management has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $216.26 million for 338 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Napa Valley Wealth Management doesn't advise any private funds.

Careers at Napa Valley Wealth Management, Inc.

The company employs 6 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kelly Farwell Crane	President, chief compliance officer	1 Feb 1994	75% - 100%	1236296
Kelly Farwell Crane	Cco	1 Mar 2016	75% - 100%	1236296

Based in St. Helena

The principal office where Napa Valley Wealth Management, Inc. performs its advisory services is located at 1127 Pope Street, St. Helena, CA 94574, which is also the mailing address of the firm. An additional office of the firm is in Walnut Creek, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 707-963-5096 or by fax 707-967-3085. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at napavalleywealthmanagement.com.