Sophos Wealth Management
RIASEC Registered
Total AUM
$17.5M
Discretionary
$17.5M
100% of AUM
Avg account
$257K
Accounts
68
Employees
1
Advisory reps
1
Firm details
- Headquarters
- ,
- CRD number
- 313667
- Custodians
- ALTRUIST FINANCIAL LLC, SHAREHOLDERS SERVICE GROUP, LLC
- Fee structure
- Percentage of AUM, Hourly Charges
- Client types
- HNWI76%
- Individuals24%
- Services
- Financial PlanningPortfolio Management for Individuals
Firm profile
FINTRXOverview
Sophos Wealth Management is an independent RIA organized as an LLC and owned by an individual. The firm serves individuals and families, offering financial planning and discretionary portfolio management tailored to individuals and small businesses. Its billing combines an assets-under-management fee with hourly charges. Sophos does not identify as an active ESG investor, it is not set up as a multi-state adviser, and it does not act as a capital allocator.
Assets & Accounts
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- US Government Bonds60%
- Exchange Traded Equities25%
- Non-Investment Grade Corp Bonds7%
- Public Funds/Mutual Funds7%
- Cash & Cash Equivalents1%
Contacts
1 of 1
Scott Caufield
PrincipalCRD 5840914
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
Primary office
, null
Location
, null
Headquartered in , null.
- Office locations
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