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Soho Financial Services LLC (Montecito)


Soho Financial Services LLC is a large advisory firm based in Montecito. It manages $100 million of regulatory assets for 75 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of California and Nevada.

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Soho Financial Services provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Soho Financial Services: assets under management

The assets under management (AUM) of Soho Financial Services LLC is $100 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 480% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $100 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.33 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Soho Financial Services LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Frank T Troise Managing member 1 Mar 1998 75% - 100% 2417914
Marion Miki Braswell Member 1 Mar 1998 25% - 50% 5116529
Frank Thomas Troise Managing member 1 Mar 1998 75% - 100% 2417914
Thomas Willon Fields Director 1 May 2001 75% - 100% 1520125
Debra Annette Fields Director 1 May 2001 75% - 100% 3049831

Based in Montecito

The principal office where Soho Financial Services LLC performs its advisory services is located at 1187 Coast Village Road, Montecito, CA 93108, which is also the mailing address of the firm. An additional office of the firm is in Henderson, NV. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (775) 298-4879 or by fax (775) 201-1101. The normal business hours are 8:00 am to 4:00 pm on Monday - Friday. You can find more information about the New York firm at www.sohocap.com.


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