SourcingSourcing

BERKELEY ADVISORS, INC.

C39
CRD 134455·SEC 801-131712·ATLANTA, GA
AUM
$125.3M
$100M-$500M
Est. Revenue
$1.3M
@ 1% on AUM
Est. EBITDA
$376K
@ 30% margin
Est. Deal Value
$3.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
BERKELEY ADVISORS, INC.
CRD
134455
SEC file #
801-131712
EIN
—
DBA names
—

Economics

AUM
$125.3M
AUM band
$100M-$500M
AUM trajectory
'25'26
$104.0M → $125.3M▲ +21%
Client mix
Individuals Other43
Individuals High Net Worth38

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'25'26
2 advisors → 2 advisors▬ 0%
Primary office
ATLANTA GA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
02/05/2026
ADV-W filed at
—
Website
berkeleyadvisors.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MATHIS, CATHERINE, MARY
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
MATHIS, CATHERINE, MARY
Mathis, Allan, Taylor
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
BERKELEYADVISORS.COM
Rdap Domain Creation Date
2005-01-25T16:25:07Z
Rdap Firm Age Years
21
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3179
Soi Zip Pct 200k Plus
0.1446
Soi Zip Returns 200k Plus
2160
Soi Zip Total AGI
1,869,538
Fdic Zip Total Deposits
19,293,347,000
Fdic Zip Branch Count
345
Fdic Zip Top Banks
Bank of America, National Association
Wells Fargo Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fdic Zip Branches Raw
First Union National Bank of GeorgiaAtlanta, GA
First Union National Bank of GeorgiaAtlanta, GA
Fdic Zip HHI
1707.61
Fdic Zip Top Bank Share Pct
27.81
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-01-25T16:25:07Z
Rdap Domain Last Changed
2024-11-26T08:18:13Z
Rdap Nameservers
Ns51.worldnic.comNs52.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI40,214
Returns3,210
Stub 2
AGI103,049
Returns2,770
Stub 3
AGI152,570
Returns2,460
Soi Zip Total Business Income
43,328
Soi Zip Total Cap Gains
81,167
Soi Zip Total Dividends
46,914
Soi Zip Total Returns
14,940
Top Owner CRD
4988760
Trust Company Affiliate
No

People (5)

5
MATHIS, CATHERINE, MARY
IAR · Direct Owner · 87.5%
4988760
Mathis, Allan, Taylor
IAR · Direct Owner · 17.5%
7147849
McKinney, Clay
IAR
6727776
ANN KATHERINE LEDYARD
IAR
1089524
Jonathan Morgan Ricketts
IAR
7372799