{"url":"https://nivawealth.com/firms/dobson-asset-management-northern-california-112079","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/112079","regulatoryAum":217825022,"crd":"112079","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"735087","suffix":null,"lastName":"DOBSON","firstName":"CHRISTOPHER","middleName":"MARTIN"},{"crd":"6924250","suffix":null,"lastName":"Dobson","firstName":"Samuel","middleName":"Riley"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-26","regulatoryAum":149302039,"clients":157,"employees":3,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":174789331,"clients":167,"employees":3,"offices":1},{"filedOn":"2023-03-27","regulatoryAum":156335627,"clients":163,"employees":3,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":177936261,"clients":153,"employees":3,"offices":1},{"filedOn":"2025-03-26","regulatoryAum":197152359,"clients":156,"employees":3,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":217825022,"clients":158,"employees":3,"offices":1}],"secFileNumber":"801-51693","legalName":"Dobson Asset Management - Northern California","displayName":"Dobson Asset Management - Northern California","slug":"dobson-asset-management-northern-california-112079","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1994","organization":"California partnership","fiscalYearEnd":"December","headquarters":{"street":"7 Fourth Street, Suite 25","city":"Petaluma","state":"CA","stateName":"California","country":"United States","postalCode":"94952"},"tradeNames":[],"registration":{"secApproved":"10 April 1996","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1378639.3797468354,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":217825022,"discretionary":216437595,"discretionaryAccounts":378,"nonDiscretionary":1387427,"nonDiscretionaryAccounts":17,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":78,"regulatoryAum":25636815},{"label":"High-net-worth individuals","clients":80,"regulatoryAum":192188207}],"feePrograms":[{"role":"main","program":"Investment Supervisory Service","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":0.65,"from":0},{"to":1000000,"pct":0.45,"from":500000},{"to":null,"pct":0.35,"from":1000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1033825","versionId":1033825,"ratePeriod":"annual","fee_billing":null,"submittedOn":"2026-03-30","documentName":"ADV PART II BROCHURE","fee_rate_low":0.35,"fee_rate_high":0.65,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Administration","summary":"Financial administration is billed at $100.00 per hour where no other service is selected.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1033825","versionId":1033825,"submittedOn":"2026-03-30","documentName":"ADV PART II BROCHURE"},{"role":"other","program":"General Financial Consulting","summary":"Other general financial consulting services are performed with a maximum hourly fee of $300.00 per hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1033825","versionId":1033825,"submittedOn":"2026-03-30","documentName":"ADV PART II BROCHURE"},{"role":"other","program":"Retirement Planning and Investment Portfolio Design","summary":"Fees for retirement planning and investment portfolio design range from $800.00 to $1,500.00 and can be negotiated to a lower amount.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1033825","versionId":1033825,"submittedOn":"2026-03-30","documentName":"ADV PART II BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:12:06.605277+00:00","documents":[{"name":"ADV PART II BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1033825","versionId":1033825,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":217825022}],"custodyNote":"Dobson Asset Management - Northern California does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Christopher Dobson","title":"Owner/Financial Advisor/Chief Compliance Officer","crd":"735087"},{"name":"Samuel Dobson","title":"Owner/Registered Advisor Representative","crd":"6924250"},{"name":"Merilee Maystrovich","title":"Owner/Adminstrator","crd":"2186596"}],"ownership":[{"label":"Christopher Dobson","detail":"Owner/financial advisor/chief compliance officer in the 25% to 50% ownership band and a control person, since February 1994."},{"label":"Merilee Maystrovich","detail":"Owner/adminstrator in the 25% to 50% ownership band, since September 1995."},{"label":"Samuel Dobson","detail":"Owner/registered advisor representative in the 25% to 50% ownership band, since April 2024."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"7 Fourth Street, Suite 25","city":"Petaluma","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"707-766-9254","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":41},{"label":"U.S. government/agency bonds","percent":4},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":54},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/112079/PDF/112079.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1033825","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Dobson Asset Management - Northern California have?","answer":"Dobson Asset Management - Northern California has 158 clients and manages $218 million for them, as of March 2026. They include 80 high-net-worth individuals and 78 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Dobson Asset Management - Northern California offer?","answer":"Dobson Asset Management - Northern California provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Dobson Asset Management - Northern California charge?","answer":"Dobson Asset Management - Northern California charges 0.35%–0.65% a year for its Investment Supervisory Service. Each asset band is charged at its own rate. The fee is negotiable.","source":"ADV PART II BROCHURE, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Dobson Asset Management - Northern California use?","answer":"Dobson Asset Management - Northern California’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $218M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Dobson Asset Management - Northern California have?","answer":"Dobson Asset Management - Northern California has 0 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Dobson Asset Management - Northern California invest in?","answer":"At the end of its last fiscal year, Dobson Asset Management - Northern California’s separately managed accounts held 54% registered funds (mutual funds, ETFs, BDCs), 41% exchange-traded equities, 4% U.S. government and agency bonds, 1% state and local bonds and 1% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Dobson Asset Management - Northern California?","answer":"Dobson Asset Management - Northern California’s direct owners are Christopher Dobson, Merilee Maystrovich and Samuel Dobson, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Dobson Asset Management - Northern California get paid?","answer":"Dobson Asset Management - Northern California is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Dobson Asset Management - Northern California?","answer":"Dobson Asset Management - Northern California’s main office is at 7 Fourth Street, Suite 25, Petaluma, CA 94952. Its phone number is 707-766-9254.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}