SourcingSourcing

WARM SPRINGS ADVISORS INC.

A72
CRD 306501·SEC 801-134774·LARKSPUR, CA
AUM
$131.3M
$100M-$500M
Est. Revenue
$1.3M
@ 1% on AUM
Est. EBITDA
$394K
@ 30% margin
Est. Deal Value
$3.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WARM SPRINGS ADVISORS INC.
CRD
306501
SEC file #
801-134774
EIN
843630806
DBA names
—

Economics

AUM
$131.3M
AUM band
$100M-$500M
AUM trajectory
'25'26
$138.0M → $131.3M▼ -5%
Client mix
Individuals High Net Worth15

Operations

Employees (total)
3
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'25'26
1 advisors → 1 advisors▬ 0%
Primary office
LARKSPUR CA
Branches
—

Custodian & Brokerage

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

Filings

Latest ADV filing
02/13/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
RICE, PHILIP, ROESING
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
RICE, PHILIP, ROESING
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002057078
Edgar Registered
Yes
Edgar Filing Count
6
Edgar First Filing Date
2025-02-19
Edgar Last Filing Date
2026-04-30
Edgar 13f Count
6
Edgar 13f Latest AUM Estimate
Filing Date2026-04-30
Accession0001214659-26-005329

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

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
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
80 E SIR FRANCIS DRAKE BLVD. SUITE 4DLARKSPUR, CA 94939
Business
80 E SIR FRANCIS DRAKE BLVD. SUITE 4DLARKSPUR, CA 94939
Edgar EIN
843630806
Edgar Recent Filings
13F-HR2026-04-30 · 0001214659-26-005329
13F-HR2026-01-27 · 0001214659-26-000880
Firm Has Custody
No
Mailing Office Differs
Yes
Top Owner CRD
1757365
Trust Company Affiliate
No

People (2)

2
RICE, PHILIP, ROESING
IAR · Direct Owner · 87.5%
1757365
NATHANIEL THOMAS CORNELL
IAR
1225766