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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

IAIAN L FILIPPINI

Advisor at FILIPPINI INVESTMENT ADVISORY

SANTA BARBARA, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 10, 2004 to Sep 14, 2026

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

Current firm: FILIPPINI INVESTMENT ADVISORY
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 9, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S65|S63
First exam: Oct 9, 2003
First registration: Feb 10, 2004
Dual registered: yes, broker-dealer
Other names: IAIAN LUCAS FLIPPINI|IAN LUCAS FILIPPINI|IAIAN L FILIPPINI|IAN L FILIPPINI|I L FILIPPINI
IAPD individual key: 4708877

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FILIPPINI INVESTMENT ADVISORY	State registered	Dec 22, 2016	n/a	yes	SANTA BARBARA, CA	Current employment
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Dec 12, 2008	Dec 20, 2011	no	SAN DIEGO, CA\|SAN DIEGO, CA\|MONTECITO, CA\|WESTLAKE VILLAGE, CA	Previous registration
EPLANNING ADVISORS INC	n/a	Apr 27, 2005	Dec 12, 2008	no	ROSEVILLE, CA	Previous registration
PACIFIC WEST FINANCIAL CONSULTANTS INC	Former SEC adviser	Aug 10, 2004	Apr 26, 2005	no	CARPINTERIA, CA	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Feb 10, 2004	Aug 19, 2004	no	CARPINTERIA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INDEPENDENT FINANCIAL GROUP, LLC	FILIPPINI INVESTMENT ADVISORY	Dec 20, 2011	Dec 22, 2016	1,829	Firm change after gap	Other
EPLANNING ADVISORS INC	INDEPENDENT FINANCIAL GROUP, LLC	Dec 12, 2008	Dec 12, 2008	0	Firm change	Other
PACIFIC WEST FINANCIAL CONSULTANTS INC	EPLANNING ADVISORS INC	Apr 26, 2005	Apr 27, 2005	1	Firm change	Other
TRANSAMERICA FINANCIAL ADVISORS, LLC	PACIFIC WEST FINANCIAL CONSULTANTS INC	Aug 19, 2004	Aug 10, 2004	-9	Firm change	Other

Relationships

Registered with (5)

→ FILIPPINI INVESTMENT ADVISORYRegistered adviserregistration: current employment
Dec 22, 2016 to presentfactForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Dec 12, 2008 to Dec 20, 2011factForm ADV
→ EPLANNING ADVISORS INCRegistered adviserregistration: previous registration
Apr 27, 2005 to Dec 12, 2008factForm ADV
→ PACIFIC WEST FINANCIAL CONSULTANTS INCRegistered adviserregistration: previous registration
Aug 10, 2004 to Apr 26, 2005factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 10, 2004 to Aug 19, 2004factForm ADV

Dated events

No dated event names this entity yet.