{"url":"https://nivawealth.com/firms/solano-wealth-investment-advisors-322037","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/322037","regulatoryAum":331919831,"crd":"322037","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6711410","suffix":null,"lastName":"GUERRA","firstName":"FRANCISCO","middleName":"JAVIER"},{"crd":"7641000","suffix":null,"lastName":"Jones","firstName":"Austin","middleName":"David"},{"crd":"4237221","suffix":null,"lastName":"MENDOZA","firstName":"CARLOS","middleName":"ROMERO"}],"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":"2024-07-01","regulatoryAum":0,"clients":0,"employees":4,"offices":1},{"filedOn":"2025-03-06","regulatoryAum":299590045,"clients":426,"employees":7,"offices":1},{"filedOn":"2026-02-09","regulatoryAum":331919831,"clients":456,"employees":7,"offices":1}],"secFileNumber":"801-130590","legalName":"Solano Wealth Investment Advisors, LLC","displayName":"Solano Wealth Investment Advisors","slug":"solano-wealth-investment-advisors-322037","website":"https://solanowealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2024","organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1300 Oliver Road, Suite 210","city":"Fairfield","state":"CA","stateName":"California","country":"United States","postalCode":"94534"},"tradeNames":["Solano Wealth Advisors"],"registration":{"secApproved":"1 July 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":702777.1578947369,"staff":{"employees":7,"advisory":3,"brokerDealerReps":3,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":331919831,"discretionary":331919831,"discretionaryAccounts":740,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":331919831,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":262,"regulatoryAum":70972820},{"label":"High-net-worth individuals","clients":194,"regulatoryAum":249493564},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":1047647},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":100641},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":10305159}],"feePrograms":[{"role":"main","program":"Wrap Asset Management","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1.25,"from":0},{"to":2000000,"pct":0.95,"from":500000},{"to":null,"pct":0.75,"from":2000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1007509","versionId":1007509,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-02-09","documentName":"FORM ADV PART 2A APPENDIX 1 - 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They include 262 individual clients and 194 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 9 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Solano Wealth Investment Advisors offer?","answer":"Solano Wealth Investment Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, 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 Solano Wealth Investment Advisors charge?","answer":"Solano Wealth Investment Advisors charges 0.75%–1.25% a year for its Wrap Asset Management. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and requires an account of at least $250,000.","source":"FORM ADV PART 2A APPENDIX 1 - WRAP FEE BROCHURE, filed 9 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Solano Wealth Investment Advisors use?","answer":"Solano Wealth Investment Advisors’ separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $332M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Solano Wealth Investment Advisors have?","answer":"Solano Wealth Investment Advisors has 3 investment adviser representatives registered with state securities authorities, out of 7 employees, and 3 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 3 employees are 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 Solano Wealth Investment Advisors invest in?","answer":"At the end of its last fiscal year, Solano Wealth Investment Advisors’ separately managed accounts held 86% registered funds (mutual funds, ETFs, BDCs), 6% investment grade corporate bonds, 2% exchange-traded equities, 2% cash and equivalents, 1% U.S. government and agency bonds, 1% sovereign bonds and 1% other. The 1% other category is described as: Structured Products.","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":"Does Solano Wealth Investment Advisors have a minimum investment?","answer":"Yes, Solano Wealth Investment Advisors’ minimum account size for its Wrap Asset Management is $250K.","source":"FORM ADV PART 2A APPENDIX 1 - WRAP FEE BROCHURE, filed 9 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Solano Wealth Investment Advisors?","answer":"Solano Wealth Investment Advisors’ direct owner is Carlos Mendoza (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 9 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Solano Wealth Investment Advisors get paid?","answer":"Solano Wealth Investment Advisors 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":"Is Solano Wealth Investment Advisors registered with the SEC?","answer":"Yes, Solano Wealth Investment Advisors has been registered with the SEC as an investment adviser since 1 July 2024. Its CRD number is 322037 and its SEC file number is 801-130590.","source":"Form ADV Part 1A, Item 1, filed 9 February 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Solano Wealth Investment Advisors?","answer":"Solano Wealth Investment Advisors’ main office is at 1300 Oliver Road, Suite 210, Fairfield, CA 94534. Its phone number is 707-435-8400. Its website is solanowealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 9 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/solano-wealth-investment-advisors-322037/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-29","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2049179/000117266126002902/0001172661-26-002902-index.html","totalValue":219751148,"positionCount":35,"top10Share":0.7115377982007175,"top10":[{"issuer":"INVESCO EXCH TRADED FD TR II","titleOfClass":"NASDAQ 100 ETF","cusip":"46138G649","value":22812609,"shares":75296,"shareType":"SH","priorValue":18410895,"priorShares":77480},{"issuer":"FIRST TR EXCHANGE TRADED FD","titleOfClass":"SMID RISNG ETF","cusip":"33741X102","value":17987007,"shares":416944,"shareType":"SH","priorValue":16761944,"priorShares":425107},{"issuer":"FIRST TR EXCHANGE-TRADED 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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."}