Noel E. Murphy

SONOMA WEST ADVISORS

Santa Rosa, CA

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CRD#: 2625059

Professional summary

Noel Edward Murphy is a registered financial advisor currently at SONOMA WEST ADVISORS located in Santa Rosa, California.

Noel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Noel has worked at 2 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Noel Edward Murphy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 9, 2012 - Present

SONOMA WEST ADVISORS

RIA

CRD#: 138687

Santa Rosa, CA

Past

March 10, 2004 - January 12, 2006

PRIVATE CONSULTING GROUP, INC.

RIA

CRD#: 45053

LARKSPUR, CA

Past

August 6, 2003 - January 12, 2006

PRIVATE CONSULTING GROUP, INC.

CRD#: 45053

LARKSPUR, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SONOMA WEST ADVISORS

DTS GROUP LLC | SONOMA WEST LLC | SONOMA WEST ADVISORS

CRD#: 138687 / SEC#: 801-127546

RIA

Registered Investment Advisory firm - (3/29/2023 Approved)

California

Registered Investment Advisory firm - (4/29/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/9/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/5/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/9/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/5/2003

General Securities Representative Examination

Current Firm

SONOMA WEST ADVISORS

DTS GROUP LLC | SONOMA WEST LLC | SONOMA WEST ADVISORS

CRD#: 138687 / SEC#: 801-127546

RIA

Registered Investment Advisory firm - (3/29/2023 Approved)

California

Registered Investment Advisory firm - (4/29/2023 Terminated)

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Contact information

Main Address

Santa Rosa, CA

Mailing Address

Po Box 321, Calistoga, CA 94515-9998

Phone number

(415) 497-7533

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/1/2025)

FORM ADV PART 2B (9/1/2025)

Regulatory assets under management

Total Number of Accounts	158
AUM (Assets Under Management)	$ 265,440,926

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Noel E. Murphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Noel Edward Murphy's CRS (Customer Relationship Summary).

Certified licenses

Experience

SONOMA WEST ADVISORS

PRIVATE CONSULTING GROUP, INC.

PRIVATE CONSULTING GROUP, INC.

Primary Firm SEC Registration

SONOMA WEST ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/5/2012

Series 66

Date: 3/9/2004

Series 7

Date: 8/5/2003

Current Firm

SONOMA WEST ADVISORS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SONOMA WEST ADVISORS

TRUST BUT VERIFY

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