SourcingSourcing

SWEENEY & MICHEL, LLC

C38
CRD 282595·SEC 801-113350·CHICO, CA
AUM
$752.6M
$500M-$1B
Est. Revenue
$7.5M
@ 1% on AUM
Est. EBITDA
$2.3M
@ 30% margin
Est. Deal Value
$18.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SWEENEY & MICHEL, LLC
CRD
282595
SEC file #
801-113350
EIN
—
DBA names
—

Economics

AUM
$752.6M
AUM band
$500M-$1B
AUM trajectory
'20'26
$306.9M → $752.6M▲ +145%
Client mix
Individuals Other526
Individuals High Net Worth101
Corporations29
Pension Profit Sharing Plans25
Charitable Organizations7

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
4 advisors → 3 advisors▼ -25%
Primary office
CHICO CA
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/05/2026
ADV-W filed at
—
Website
instagram.com/sweeney_michel_chico(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MICHEL, RENEE, ANN
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
MICHEL, RENEE, ANN
SWEENEY, JOSEPH, DANIEL
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
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
fallback_guess:sweeneymichel.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
32,631
Form 5500 Compensation Trajectory 3y
202532,631
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
32,631
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

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
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Fidelity4
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
4713493
Trust Company Affiliate
No

People (3)

3
SWEENEY, JOSEPH, DANIEL
IAR · Direct Owner · 62.5%
4968553
MICHEL, RENEE, ANN
IAR · Direct Owner · 62.5%
4713493
Katie Junk
IAR
6942651