{"url":"https://nivawealth.com/firms/tate-wealth-management-120938","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/120938","regulatoryAum":293356007,"crd":"120938","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2640834","suffix":null,"lastName":"TATE","firstName":"MICHAEL","middleName":"ROBERT"}],"total":1,"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":"2021-03-29","regulatoryAum":272385385,"clients":150,"employees":5,"offices":1},{"filedOn":"2022-03-29","regulatoryAum":399286089,"clients":135,"employees":5,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":233271332,"clients":166,"employees":5,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":259403512,"clients":242,"employees":4,"offices":1},{"filedOn":"2025-03-29","regulatoryAum":288497342,"clients":265,"employees":4,"offices":1},{"filedOn":"2026-04-24","regulatoryAum":293356007,"clients":145,"employees":4,"offices":1}],"secFileNumber":"801-63712","legalName":"Tate Wealth Management","displayName":"Tate Wealth Management","slug":"tate-wealth-management-120938","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"1545 River Park Drive, Suite 375","city":"Sacramento","state":"CA","stateName":"California","country":"United States","postalCode":"95815-4614"},"tradeNames":[],"registration":{"secApproved":"3 January 2005","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1685085.8828125,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":293356007,"discretionary":293356007,"discretionaryAccounts":396,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":56,"regulatoryAum":20399677},{"label":"High-net-worth individuals","clients":72,"regulatoryAum":195291316},{"label":"Pension and profit-sharing plans","clients":5,"regulatoryAum":21547889},{"label":"Charitable organizations","clients":2,"fewerThan5":true,"regulatoryAum":7573404},{"label":"Corporations and other businesses","clients":10,"regulatoryAum":48543721}],"feePrograms":[{"role":"main","program":"Portfolio management services","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028927","versionId":1028927,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-27","documentName":"TATE PRIVATE WEALTH ADVISERS","fee_rate_low":null,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"General consulting","summary":"Consulting services are offered at a negotiable hourly rate of up to $400.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028927","versionId":1028927,"submittedOn":"2026-03-27","documentName":"TATE PRIVATE WEALTH ADVISERS"},{"role":"other","program":"Pension consulting for UK pension account holders","summary":"Negotiable fixed fee starting at $2,500, set by a formula that may add a percentage of pension assets, as stated in the services agreement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028927","versionId":1028927,"submittedOn":"2026-03-27","documentName":"TATE PRIVATE WEALTH ADVISERS"},{"role":"other","program":"US qualified retirement plan consulting","summary":"Fees are negotiated with each plan sponsor based on plan assets, participants and locations, and set out in the consulting agreement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028927","versionId":1028927,"submittedOn":"2026-03-27","documentName":"TATE PRIVATE WEALTH ADVISERS"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:46:15.96498+00:00","documents":[{"name":"TATE PRIVATE WEALTH ADVISERS","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028927","versionId":1028927,"submittedOn":"2026-03-27"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":208531247},{"name":"Fidelity Distributors Company LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":63276872}],"custodyNote":"Tate Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Michael Tate","title":"President/Chief Compliance Officer","crd":"2640834"}],"ownership":[{"label":"Michael Tate","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since January 2005."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"1545 River Park Drive, Suite 375","city":"Sacramento","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"916-929-1006","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":17},{"label":"U.S. government/agency bonds","percent":7},{"label":"U.S. state and local bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":56},{"label":"Cash and cash equivalents","percent":18}],"privateFunds":0},"sources":{"adv1FilingDate":"24 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/120938/PDF/120938.pdf","brochureDate":"27 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028927","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 Tate Wealth Management have?","answer":"Tate Wealth Management has 145 clients and manages $293 million for them, as of April 2026. They include 72 high-net-worth individuals, 56 individual clients, and 10 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Tate Wealth Management offer?","answer":"Tate Wealth Management provides portfolio management for individuals and small businesses and selecting other managers.","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 Tate Wealth Management charge?","answer":"Tate Wealth Management charges up to 1.00% a year for its Portfolio management services. The fee is billed in arrears and is negotiable.","source":"TATE PRIVATE WEALTH ADVISERS, filed 27 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Tate Wealth Management use?","answer":"Tate Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $209M and Fidelity Distributors Company LLC (Smithfield, RI), with $63.3M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Tate Wealth Management have?","answer":"Tate Wealth Management has 3 investment adviser representatives registered with state securities authorities, out of 4 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 Tate Wealth Management invest in?","answer":"At the end of its last fiscal year, Tate Wealth Management’s separately managed accounts held 56% registered funds (mutual funds, ETFs, BDCs), 18% cash and equivalents, 17% exchange-traded equities, 7% U.S. government and agency bonds and 2% state and local bonds.","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 Tate Wealth Management?","answer":"Tate Wealth Management’s direct owner is Michael Tate (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Tate Wealth Management get paid?","answer":"Tate Wealth Management is paid through a percentage of assets under management 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 Tate Wealth Management?","answer":"Tate Wealth Management’s main office is at 1545 River Park Drive, Suite 375, Sacramento, CA 95815-4614. Its phone number is 916-929-1006.","source":"Form ADV Part 1A, Item 1.F, filed 24 April 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."}