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CRD 156109
SANTA BARBARA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| RICHARD ALLEN SCHUETTE | Certified Financial Planner | SANTA BARBARA, CA | 15 | 29 | 2 | no |
| KATHRYN E COURAIN | n/a | SANTA BARBARA, CA | 10 | 23 | 1 | no |
| ELIZABETH ANN SAGHI | Certified Financial Planner | SANTA BARBARA, CA | 8 | 29 | 2 | no |
| Jeffrey Charles Hall | n/a | SANTA BARBARA, CA | 8 | 28 | n/a | no |
| CASEY WILLIAM SLEMMONS | Certified Financial Planner | SANTA BARBARA, CA | 7 | 17 | 1 | no |
| JEFFREY FRANK JAGARD | n/a | SANTA BARBARA, CA | 5 | 20 | 2 | no |
| PETER WHITE MADLEM | Chartered Financial Analyst | SANTA BARBARA, CA | 4 | 40 | n/a | no |
| Sean Peter Madlem | n/a | SANTA BARBARA, CA | 3 | 12 | n/a | no |
| RICK JAY WEBER | n/a | SANTA BARBARA, CA | 3 | 20 | n/a | no |
| JEFFERY DALE THOMPSON | Certified Financial Planner | SANTA BARBARA, CA | 1 | 15 | 3 | no |
| Valeria Chepilev | n/a | SANTA BARBARA, CA | 0 | 10 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| AVALAN OPPORTUNITY FUND I, LLC | Private Equity Fund | $800,000 | Oct 8, 2024 | 8 | Nov 17, 2023 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| COURAIN, KATHRYN, E | Shareholder | B | yes | 04/2016 | Mar 23, 2017 | Oct 8, 2024 |
| MADLEM, PETER, WHITE | Shareholder | B | yes | 09/2022 | Apr 3, 2023 | Oct 8, 2024 |
| SCHUETTE, RICHARD, ALLEN | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | yes | 02/2011 | Aug 5, 2013 | Oct 8, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| THOUSAND OAKS | CA | United States | 2 | no |
| Solvang | CA | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 17, 2026 | $622M | $544M | 11 | 11 | 2 | 1 | n/a |
| 2024 | Mar 24, 2025 | $489M | $473M | 10 | 10 | 2 | 1 | n/a |
| 2023 | May 1, 2024 | $405M | $375M | 10 | 10 | 2 | 1 | $800,000 |
| 2022 | Apr 3, 2023 | $349M | $324M | 10 | 10 | 2 | n/a | n/a |
| 2021 | Mar 15, 2022 | $452M | $430M | 11 | 11 | 2 | n/a | n/a |
| 2020 | Mar 15, 2021 | $276M | $265M | 9 | 9 | 2 | n/a | n/a |
| 2019 | Mar 25, 2020 | $234M | $210M | 6 | 6 | 2 | n/a | n/a |
| 2018 | Mar 27, 2019 | $169M | $157M | 3 | 3 | 2 | n/a | n/a |
| 2017 | Mar 20, 2018 | $238M | $222M | 4 | 3 | 2 | n/a | n/a |
| 2016 | Mar 23, 2017 | $185M | $170M | 6 | 5 | n/a | n/a | n/a |
| 2013 | Apr 28, 2014 | $70.0M | $50.0M | 3 | 2 | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $622M | $489M | 27.2% | $349M | 21.2% | 11 | 10 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| VILLAGE WEALTH ADVISORS | 2 | Nov 8, 2019 | Mar 7, 2022 | SANTA BARBARA, CA | Team lift out | RIA to RIA | 20.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| ALEXANDRIA CAPITAL | 2 | Apr 7, 2016 | Mar 4, 2016 | WESTLAKE VILLAGE, CA | Team lift out | Other | 22.2% |