{"url":"https://nivawealth.com/firms/sierra-pacific-private-wealth-131738","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/131738","regulatoryAum":245900000,"crd":"131738","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7645641","suffix":null,"lastName":"Nguyen","firstName":"Tu","middleName":"Thien"},{"crd":"8180304","suffix":null,"lastName":"Rodriguez","firstName":"Jacob","middleName":"Andrew"},{"crd":"4537792","suffix":null,"lastName":"WAN","firstName":"ZHENG","middleName":null}],"total":3,"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":"2023-03-17","regulatoryAum":126781000,"clients":108,"employees":4,"offices":3},{"filedOn":"2024-03-04","regulatoryAum":162130000,"clients":123,"employees":5,"offices":3},{"filedOn":"2025-03-20","regulatoryAum":212673000,"clients":130,"employees":5,"offices":3},{"filedOn":"2026-02-23","regulatoryAum":245900000,"clients":290,"employees":7,"offices":3}],"secFileNumber":"801-123728","legalName":"Sierra Pacific Private Wealth, LLC","displayName":"Sierra Pacific Private Wealth","slug":"sierra-pacific-private-wealth-131738","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/sierrapacificprivatewealth","xUrl":"https://twitter.com/SierraPacificPW","founded":"2005","organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"7077 Koll Center Parkway, Suite 120","city":"Pleasanton","state":"CA","stateName":"California","country":"United States","postalCode":"94566"},"tradeNames":[],"registration":{"secApproved":"28 November 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":817241.3793103448,"staff":{"employees":7,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":245900000,"discretionary":237000000,"discretionaryAccounts":290,"nonDiscretionary":8900000,"nonDiscretionaryAccounts":4,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":12},"clientTypes":[{"label":"Individuals (other than HNW)","clients":39,"regulatoryAum":11565000},{"label":"High-net-worth individuals","clients":251,"regulatoryAum":225435000},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":8900000}],"feePrograms":[{"role":"main","program":"Asset management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011254","versionId":1011254,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-02-23","documentName":"SIERRA PACIFIC FINANCIAL ADVISORS, LLC - PART A","fee_rate_low":0.5,"fee_rate_high":0.95,"fee_negotiable":null,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning and consulting","summary":"Hourly fees are $250 to $350 for financial advisors; fixed fees are $4,800 (Platinum) or $5,800 (Diamond) for the two planning packages.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011254","versionId":1011254,"submittedOn":"2026-02-23","documentName":"SIERRA PACIFIC FINANCIAL ADVISORS, LLC - PART A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:07:44.331858+00:00","documents":[{"name":"SIERRA PACIFIC FINANCIAL ADVISORS, LLC - PART A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011254","versionId":1011254,"submittedOn":"2026-02-23"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":220000000}],"custodyNote":"Sierra Pacific Private Wealth has custody of $52M for 27 clients.","otherCustodians":[],"leadership":[{"name":"Zheng Wan","title":"Principal, Chief Compliance Officer","crd":"4537792"}],"ownership":[{"label":"Zheng Wan","detail":"Principal, chief compliance officer in the 75% or more ownership band and a control person, since January 2005."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"California","offices":3,"addresses":[{"street":"7077 Koll Center Parkway, Suite 120","city":"Pleasanton","headquarters":true},{"street":"19925 Stevens Creek BLVD #100","city":"Cupertino"},{"street":"1300 Clay Street #600","city":"Oakland"}]}],"brochureServices":["education planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"925-223-8868","stateRegisteredReps":3,"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","Pension consulting services","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":7},{"label":"Non-exchange-traded equity securities","percent":6},{"label":"Investment grade corporate bonds","percent":15},{"label":"Non-investment grade corporate bonds","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":62},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"23 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/131738/PDF/131738.pdf","brochureDate":"23 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011254","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 Sierra Pacific Private Wealth have?","answer":"Sierra Pacific Private Wealth has 290 clients and manages $246 million for them, as of February 2026. They include 251 high-net-worth individuals and 39 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sierra Pacific Private Wealth offer?","answer":"Sierra Pacific Private Wealth provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, educational seminars, education planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Sierra Pacific Private Wealth charge?","answer":"Sierra Pacific Private Wealth charges 0.50%–0.95% a year for its Asset management. The fee is billed in advance.","source":"SIERRA PACIFIC FINANCIAL ADVISORS, LLC - PART A, filed 23 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Sierra Pacific Private Wealth use?","answer":"Sierra Pacific Private Wealth’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $220M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sierra Pacific Private Wealth have?","answer":"Sierra Pacific Private Wealth has 3 investment adviser representatives registered with state securities authorities, out of 7 employees, and 3 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 Sierra Pacific Private Wealth invest in?","answer":"At the end of its last fiscal year, Sierra Pacific Private Wealth’s separately managed accounts held 62% registered funds (mutual funds, ETFs, BDCs), 15% investment grade corporate bonds, 7% exchange-traded equities, 6% non-exchange-traded equities, 6% high-yield corporate bonds and 4% 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 Sierra Pacific Private Wealth?","answer":"Sierra Pacific Private Wealth’s direct owner is Zheng Wan (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sierra Pacific Private Wealth get paid?","answer":"Sierra Pacific Private Wealth 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 Sierra Pacific Private Wealth?","answer":"Sierra Pacific Private Wealth’s main office is at 7077 Koll Center Parkway, Suite 120, Pleasanton, CA 94566. Its phone number is 925-223-8868.","source":"Form ADV Part 1A, Item 1.F, filed 23 February 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."}