Top 4 financial advisor firms in Novato

4 SEC-registered financial advisor firms are headquartered in Novato, CA, with $1.03B in combined regulatory assets under management. The largest by assets are Ketron Financial ($384M), Alpha Wealth Management and Planning ($320M) and Marin Capital Management ($171M).

4
Financial advisor firms: $1.03B
Their combined AUM: $245M
Median firm AUM: 912
Clients of the top 4

The 4 largest by assets

1
Ketron Financial
RIA
$384M
Up to 1.30% a year
2
Alpha Wealth Management and Planning
RIA
$320M
Regulatory AUM
3
Marin Capital Management
RIA
$171M
Regulatory AUM
4
Sonoma Private Wealth
RIA
$158M
Regulatory AUM

Profiles of the top 4

No. 1 · RIA

Ketron Financial

Ketron Financial is an investment adviser based in Novato, CA, registered with the SEC since 2024. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients and charitable organizations. Its regulatory assets under management total $384 million, as filed on 12 May 2026.

Ketron Financial charges up to 1.30% a year for its Portfolio Management Fees.

Regulatory AUM: $384M
Clients: 262
Advisory staff: 3
Fee schedule: Up to 1.30% a year
Custodians: Charles Schwab
Headquarters: 1500 Grant Ave Ste 238, Novato, CA 94945
Phone: 415-892-0928
Website: ketronfinancial.com

No. 2 · RIA

Alpha Wealth Management and Planning

Alpha Wealth Management and Planning is an investment adviser based in Novato, CA, registered with the SEC since 2016. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and pension and profit-sharing plans. Its regulatory assets under management total $320 million, as filed on 3 August 2026.

Regulatory AUM: $320M
Clients: 480
Advisory staff: 5
Custodians: LPL Financial
Headquarters: 690 De Long Ave., Suite 300, Novato, CA 94945
Phone: 415-506-4569

No. 3 · RIA

Marin Capital Management

Marin Capital Management is an investment adviser based in Novato, CA, registered with the SEC since 2021. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and corporations and other businesses. Its regulatory assets under management total $171 million, as filed on 4 August 2026.

Regulatory AUM: $171M
Clients: 85
Advisory staff: 6
Custodians: Columbia Private Trust, Fidelity
Headquarters: 7250 Redwood BLVD, Suite 300, Novato, CA 94945
Phone: 844-626-4949
Website: mcmwealth.com

No. 4 · RIA

Sonoma Private Wealth

Sonoma Private Wealth is an investment adviser based in Novato, CA, registered with the SEC since 2022. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients and charitable organizations. Its regulatory assets under management total $158 million, as filed on 16 September 2026.

Regulatory AUM: $158M
Clients: 85
Advisory staff: 3
Custodians: Charles Schwab, Fidelity
Headquarters: 7049 Redwood BLVD., Suite 205, Novato, CA 94945
Phone: 415-806-0073
Website: sonomaprivatewealth.com

Questions about financial advisors in Novato

How many financial advisor firms are headquartered in Novato?

4 SEC-registered financial advisor firms report their principal office in Novato, CA, managing $1.03B in regulatory assets between them. The other 1 adviser headquartered in the city are broker-dealers, other kinds of wealth firm, or fund and institutional managers.

Source: Form ADV Part 1A, Items 1.F, 5.D and 5.F

What is the largest financial advisor firm in Novato?

Ketron Financial, with $384M in regulatory assets under management on its latest Form ADV. The next largest are Alpha Wealth Management and Planning ($320M) and Marin Capital Management ($171M).

Source: Form ADV Part 1A, Item 5.F

How large is a typical financial advisor firm in Novato?

The median firm manages $245M in regulatory assets. That is the midpoint of the 4 firms headquartered in Novato.

Source: Form ADV Part 1A, Item 5.F

How can I check a financial advisor's record in Novato?

Search the firm or the person on the SEC's Investment Adviser Public Disclosure site, adviserinfo.sec.gov, which shows registrations, Form ADV filings and any disclosures. Each firm profile in this directory links its SEC record.

Source: SEC Investment Adviser Public Disclosure

How is this list ordered?

By regulatory assets under management as filed on Form ADV, largest first. A firm is included when its principal office is in the city and most of its client assets belong to individuals and its type is RIA, which leaves out broker-dealers, wirehouses, RIA networks, digital advice, bank, insurance and family-office firms. A firm with only a branch office here is listed in its own headquarters city.

Source: Niva directory methodology

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