# SOARES FINANCIAL, INC.

SOARES FINANCIAL, INC. is an Asset Manager.

## Overview

- **Organization type:** Asset Manager
- **Assets under management:** Undisclosed
- **Website:** soaresfinancial.com

## Regulatory record

- **CRD number:** 120056
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/120056

## About

Soares Financial, Inc. is a state-registered investment adviser in Napa, CA. The firm manages approximately $21 million in regulatory assets. It has 1 employee and 1 investment adviser.

## Questions

### How is Soares Financial structured as an advisory firm?

Soares Financial is organized as a registered investment advisor — an independent, fee-only firm that is legally bound by a fiduciary duty to act in the best interests of its clients. It does not operate under a broker-dealer umbrella, meaning its advisors do not earn commissions from product sales. This corporate structure places it among the independent RIA channel, distinct from wirehouses and insurance-affiliated advisory practices.

### Does Soares Financial participate in fund commitments or only direct securities?

Portfolio construction is expected to rely on direct ownership of individual securities alongside mutual funds and ETFs. As an RIA of this scale, the firm almost certainly does not act as a limited partner in private capital fund commitments — it accesses investment exposures through the fund structures available on its custodial platform.

### How does Soares Financial differ from a broker-dealer advisory program?

As an independent RIA, Soares Financial operates without a proprietary product mandate. Broker-dealer advisory programs often steer clients toward in-house mutual funds or model portfolios that generate internal revenue; a fee-only independent RIA has no such incentive. Client portfolios are built exclusively from external, third-party investment products, and the firm's revenue comes solely from the advisory fee negotiated with each client.

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Last updated: 2026-06-03T20:00:00.000Z

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