SOZO VENTURES

Exempt Reporting AdvisorFINRA MemberEst. 2017
Total AUM
Accounts
0
Advisory reps
5
Brokerage reps
0
Avg account
$0

Firm details

Headquarters
REDWOOD CITY, California
CRD number
288073
Registered since
March 29, 2017

Firm profile

FINTRX

Overview

Sozo Ventures is an LLC that has been SEC-registered since 2017 and is owned by an individual. The firm functions primarily as a sponsor and general partner, acting as the managing member for pooled investment vehicles. Its regulatory footprint is limited: it is not a multi-state adviser, does not position itself as a capital allocator in FINTRX data, and is not flagged as an active ESG investor. The publicly reported activity centers on forming and operating private investment vehicles rather than providing broad retail advisory services.

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

1 of 1
  • ELENA WINEFELD

    Chief Financial OfficerCRD 7515210

Contacts

3 of 4
  • PHIL WICKHAM

    Founder and General PartnerCRD 6330627

  • KOICHIRO NAKAMURA

    Senior Managing DirectorCRD 6330630

  • SPENCER FOUST

    Managing DirectorCRD 7717379

Unlock 1 more contacts

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

REDWOOD CITY, CA

SAN MATEO

Location

REDWOOD CITY, CA

Headquartered in REDWOOD CITY, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
SAN MATEO
Address
10 California St
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth