9AT: SONOMA WEST ADVISORS

SONOMA WEST ADVISORS

SONOMA WEST ADVISORS

DTS GROUP LLC

SONOMA WEST LLC

Adviser Profile

As of Date	03/27/2026
Registration	SEC, Approved, 03/29/2023
Other registrations (2)	California, Terminated, 04/29/2023 California, Approved, 03/14/2012
Contact Info	415 xxxxxxx
Websites

AUM^*	255,942,537 -5%
of that, discretionary	222,168,528 2%
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	1,532,590 -9%
% High Net Worth	95.00%
SMA’s	No
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- High net worth individuals
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Reported AUM

222M 190M 159M 127M 95M 63M 32M

2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

DTS Group provides investment management and advisory services to its clients, consisting of high net worth individuals and associated trusts, profit sharing plans, charitable organizations and other legal entities. Clients generally work with the firm under one or more of the following arrangements:
• Under a discretionary arrangement – in which the client grants the firm the discretion and authority to supervise, invest and trade assets placed under its management consistent with established client objectives and guidelines
• Under a non-discretionary arrangement – in which the firm provides varying services based upon mutual agreement
• Under a consulting arrangement – for varying consulting services based upon mutual agreement The firm may also provide some material elements of financial planning as needed to its clients. Financial planning may include financial statement preparation and analysis, income tax planning, education planning, risk management, retirement planning and estate planning. The firm may or may not charge additional fees for financial planning. In providing its services, the standard of care imposed upon the Firm shall be to act with the care, skill, prudence and diligence under the circumstances then prevailing that a prudent person acting in a like capacity and familiar with such matters would use in the conduct of an enterprise of a like character

and with like aims. Furthermore, whether the firm may acquire, or not acquire, securities or property for itself or for any other client will not be considered in determining the advisability of acquiring or not acquiring similar securities or property for the portfolio account of any client. DTS Group, in consultation with each client, structures a portfolio to meet the investment goals, risk tolerance and other guidelines as specified by the client. Client assets are generally invested in open end, no-load mutual funds or other pooled investment vehicles. Under some circumstances, investments are made in individual equities or fixed income securities and closed end mutual funds. Some client assets may be invested in certain private investment funds or other separate account vehicles managed by other advisors. Clients can place reasonable restrictions on the firm’s investment discretion. For example, some clients have asked not to sell certain securities where the client has a particularly low tax basis. DTS Group was founded in 2005 as a California Limited Liability Company by Noel Murphy as its sole managing member. As of December 2021, the California Limited Liability Company name was changed to Sonoma West, LLC. As of March 2024, the firm managed $200,000,000 on a discretionary basis and $45,000,000 on a non- discretionary basis on behalf of approximately 60 clients.

SONOMA WEST ADVISORS

SONOMA WEST ADVISORS

DTS GROUP LLC

SONOMA WEST LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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SONOMA WEST ADVISORS SONOMA WEST ADVISORS DTS GROUP LLC SONOMA WEST LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

SONOMA WEST ADVISORS

SONOMA WEST ADVISORS

DTS GROUP LLC

SONOMA WEST LLC