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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

FIDUCIARY INVESTMENT COUNCIL, LLC

CRD 158709

SANTA BARBARA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3c4785a0-a7ad-e1e4-48b7-d561f4309028

Data as of Jul 16, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2012 to Jul 16, 2012
8 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $105MItem 5.F on the latest filing (2012-07-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 15
SEC number: 801-72645
CRD: 158709
Filings on the tape: 8
First filed: Jan 3, 2012
Latest filed: Jul 16, 2012
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CABALLERO, JOSEPH, HERIBERTO	CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER AND MEMBER	Na	yes	04/2012	Jan 3, 2012	Jul 16, 2012
FIDUCIARY COUNCIL HOLDINGS, LLC	Owner	E	yes	06/2012	Jul 16, 2012	Jul 16, 2012
VAN WYK, GREGORY, DANIEL	Member	Na	yes	06/2012	Jul 16, 2012	Jul 16, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
DANIEL INVESTMENT ASSOCIATES, LLC	n/a	Independent wealth	$225M	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SANTA BARBARA	CA	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$101M	$0	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$105M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ DANIEL INVESTMENT ASSOCIATES, LLCRegistered adviserother investment adviser
factForm ADV

Controls (3)

← CABALLERO, JOSEPH, HERIBERTOOwnerCHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER AND MEMBER, ownership code NA, individual
Jan 3, 2012 to presentfactForm ADV
← VAN WYK, GREGORY, DANIELOwnerMEMBER, ownership code NA, individual
Jul 16, 2012 to presentfactForm ADV
← FIDUCIARY COUNCIL HOLDINGS, LLCOwnerOWNER, ownership code E, domestic entity
Jul 16, 2012 to presentfactForm ADV

Dated events

Occurred
Apr 26, 2012
Succession filed (Item 4)
Viridis Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c4785a0-a7ad-e1e4-48b7-d561f4309028
First observed: Jan 3, 2012
Last observed: Jul 16, 2012 172 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FIDUCIARY INVESTMENT COUNCIL, LLC

CRD 158709

SANTA BARBARA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3c4785a0-a7ad-e1e4-48b7-d561f4309028

Data as of Jul 16, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:19 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CABALLERO, JOSEPH, HERIBERTO

CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER AND MEMBER

yes

04/2012

Jan 3, 2012

Jul 16, 2012

FIDUCIARY COUNCIL HOLDINGS, LLC

Owner

yes

06/2012

Jul 16, 2012

VAN WYK, GREGORY, DANIEL

Member

yes

06/2012

Jul 16, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DANIEL INVESTMENT ASSOCIATES, LLC

n/a

Independent wealth

$225M

n/a

City

State

Country

Employees

Also broker-dealer

SANTA BARBARA

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$101M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$105M

n/a