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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PARTNERVEST ADVISORY SERVICES LLC

CRD 113621

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:b9a873cc-db88-28d9-8a12-60290cabb563

Data as of Mar 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 98
Dated events: 8
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2021
49 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: $135,225Item 5.F on the latest filing (2021-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $135,225
Private client RAUM: $135,225derivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 8
Individual clients: 6
High net worth clients: 0
Custody, client assets: $0
SEC number: 801-62795
CRD: 113621
Filings on the tape: 49
First filed: Mar 30, 2012
Latest filed: Mar 30, 2021
Organised: Limited Liability Company, California

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
ELYSIAN CAPITAL HOLDINGS, LLC	Member	C	yes	07/2016	Mar 30, 2017	Mar 30, 2021
HYMAN, KENNETH, ROSS	Manager	C	yes	06/2001	Mar 30, 2012	Mar 30, 2021
HYMAN, KENNETH, ROSS	CHIEF EXECUTIVE OFFICER, PRESIDENT, TREASURER, CHIEF FINANCIAL OFFICER	Na	yes	06/2001	Mar 30, 2012	Mar 30, 2021
MAHOTA, CHRISTINE, CATHERINE	CHIEF COMPLIANCE OFFICER	Na	yes	11/2018	Nov 29, 2018	Mar 30, 2021
OWENS, ANGIE, CHEN	DIRECTOR OF OPERATIONS	Na	yes	06/2016	Mar 29, 2019	Mar 30, 2021
PARTNERVEST FINANCIAL GROUP LLC	Member	E	yes	06/2001	Mar 30, 2012	Mar 30, 2021
VALDEZ, REBECCA, MERLYNN	DIRECTOR OF INVESMENTS	Na	yes	07/2017	Mar 29, 2019	Mar 30, 2021

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
PARTNERVEST INSURANCE GROUP	n/a	n/a	n/a	N	yes	n/a

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
2020	Mar 30, 2021	$135,225	$135,225	4	0	0	n/a	n/a
2019	Mar 31, 2020	$715M	$662M	55	44	40	n/a	n/a
2018	Mar 29, 2019	$589M	$578M	56	42	40	n/a	n/a
2017	Mar 30, 2018	$525M	$525M	57	52	40	n/a	n/a
2016	Mar 30, 2017	$523M	$523M	57	52	n/a	n/a	n/a
2015	Mar 31, 2016	$514M	$514M	14	5	n/a	n/a	n/a
2014	Mar 27, 2015	$446M	$436M	13	7	n/a	n/a	n/a
2013	Mar 28, 2014	$418M	$400M	17	5	n/a	n/a	n/a
2012	Mar 28, 2013	$470M	$424M	18	5	n/a	n/a	n/a
2011	Mar 30, 2012	$436M	$387M	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
2020	$135,225	$715M	-100.0%	$525M	-93.6%	4	55	0	40

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SMITH BRUER	3	Sep 30, 2016	Aug 19, 2016	SANTA BARBARA, CA	Team lift out	Other	10.3%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WELLS FARGO ADVISORS	2	Oct 25, 2018	Oct 15, 2018	MONTECITO, CA	Team lift out	Wirehouse to RIA	0.0%
INVEST FINANCIAL CORPORATION	3	Feb 18, 2015	Mar 4, 2015	TALLAHASSEE, FL	Team lift out	Other	0.5%

Relationships

showing 80 of 98

Controls (6)

← HYMAN, KENNETH, ROSSOwnerMANAGER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← OWENS, ANGIE, CHENOwnerDIRECTOR OF OPERATIONS, ownership code NA, individual
Mar 29, 2019 to presentfactForm ADV
← MAHOTA, CHRISTINE, CATHERINEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 29, 2018 to presentfactForm ADV
← VALDEZ, REBECCA, MERLYNNOwnerDIRECTOR OF INVESMENTS, ownership code NA, individual
Mar 29, 2019 to presentfactForm ADV
← ELYSIAN CAPITAL HOLDINGS, LLCOwnerMEMBER, ownership code C, domestic entity
Mar 30, 2017 to presentfactForm ADV
← PARTNERVEST FINANCIAL GROUP LLCOwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Registered with (67)

← Kenneth HymanAdvisorregistration: previous registration
Jul 8, 2002 to Jun 11, 2021factForm ADV
← Douglas Joseph GillAdvisorregistration: previous registration
Jul 11, 2016 to Dec 7, 2020factForm ADV
← JAMES JOSEPH DUDDEYAdvisorregistration: previous registration
Jan 28, 2019 to Nov 9, 2020factForm ADV
← RICK ORIN HELBINGAdvisorregistration: previous registration
Jan 7, 2016 to Nov 6, 2020factForm ADV
← SHANNON RENEE IRWINAdvisorregistration: previous registration
Oct 17, 2005 to Nov 6, 2020factForm ADV
← RONALD DAVID WILLIAMSONAdvisorregistration: previous registration
Mar 6, 2009 to Nov 6, 2020factForm ADV
← Sarai AndersonAdvisorregistration: previous registration
Sep 4, 2019 to Nov 6, 2020factForm ADV
← RANDALL ABELL BISHOPAdvisorregistration: previous registration
Apr 22, 2009 to Nov 6, 2020factForm ADV
← MARCY SHEER BURTONAdvisorregistration: previous registration
Jun 24, 2003 to Nov 5, 2020factForm ADV
← PAUL IAN COHENAdvisorregistration: previous registration
Jan 4, 2019 to Nov 5, 2020factForm ADV
← NICHOLAS PETER MILLARDAdvisorregistration: previous registration
Mar 19, 2009 to Nov 5, 2020factForm ADV
← NORBERT JAMES VONNEGUTAdvisorregistration: previous registration
Feb 5, 2018 to Nov 5, 2020factForm ADV
← CHRISTINE ELIZABETH GIBSONAdvisorregistration: previous registration
Sep 17, 2004 to Nov 5, 2020factForm ADV
← CAROLYN SHIRLEY BISHOPAdvisorregistration: previous registration
Dec 2, 2003 to Nov 5, 2020factForm ADV
← PERRY JAMES CLIFTONAdvisorregistration: previous registration
Nov 13, 2008 to Nov 5, 2020factForm ADV
← KEVIN OWEN EKSTROMAdvisorregistration: previous registration
Mar 6, 2009 to Nov 5, 2020factForm ADV
← ANDREW STEWART LEVACYAdvisorregistration: previous registration
Aug 18, 2009 to Nov 5, 2020factForm ADV
← LEWIS PETER SISICHAdvisorregistration: previous registration
Apr 7, 2004 to Nov 5, 2020factForm ADV
← LORRAINE GAIL BISHOPAdvisorregistration: previous registration
Apr 3, 2007 to Nov 5, 2020factForm ADV
← NANCY ANN EFFERTAdvisorregistration: previous registration
Oct 10, 2013 to Nov 5, 2020factForm ADV
← JAMES K HUAdvisorregistration: previous registration
Jun 5, 2013 to Nov 5, 2020factForm ADV
← JOSEPH L GAGNONAdvisorregistration: previous registration
Jan 3, 2013 to Nov 5, 2020factForm ADV
← AARON DEL BROWNAdvisorregistration: previous registration
Oct 15, 2018 to Nov 5, 2020factForm ADV
← DARYL R FUCHSAdvisorregistration: previous registration
Jun 17, 2011 to Nov 5, 2020factForm ADV
← Garth Wolf PorterfieldAdvisorregistration: previous registration
Jun 22, 2020 to Nov 5, 2020factForm ADV
← CONNER DAVID REHAGEAdvisorregistration: previous registration
Jan 28, 2016 to Nov 5, 2020factForm ADV
← Lindsay Ann GuidoAdvisorregistration: previous registration
Jan 8, 2020 to Nov 5, 2020factForm ADV
← ANTHONY CARL PURPEROAdvisorregistration: previous registration
Jan 31, 2005 to Nov 5, 2020factForm ADV
← SCOTT RYAN MALONEAdvisorregistration: previous registration
Oct 12, 2018 to Oct 28, 2020factForm ADV
← JON-ERIC LAWRENCE KRONVALLAdvisorregistration: previous registration
Jun 8, 2017 to Jul 10, 2019factForm ADV
and 37 more

Moved with (3)

← WELLS FARGO ADVISORSRegistered adviser2 advisors, team lift out, same day
Oct 25, 2018 to Oct 15, 2018factForm ADV
→ SMITH BRUERRegistered adviser3 advisors, team lift out, same day
Sep 30, 2016 to Aug 19, 2016factForm ADV
← INVEST FINANCIAL CORPORATIONRegistered adviser3 advisors, team lift out, same day
Feb 18, 2015 to Mar 4, 2015factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 30, 2021
Control person left
Michael John Harline (Member) no longer on Schedule A of Partnervest Advisory Services Llc (listed 2020-12-07, absent 2021-03-30)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2021
Control person left
Nmn David Young (Chief Investment Officer) no longer on Schedule A of Partnervest Advisory Services Llc (listed 2020-12-07, absent 2021-03-30)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2021
Control person left
Nicholas Angelo Georggin (Member) no longer on Schedule A of Partnervest Advisory Services Llc (listed 2020-12-07, absent 2021-03-30)
Form ADVobserved 4 days ago
Occurred
Nov 25, 2020
Control person left
Marie Paula Rezza (Member) no longer on Schedule A of Partnervest Advisory Services Llc (listed 2020-11-09, absent 2020-11-25)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Control person joined
Chen Angie Owens (Director Of Operations) appeared on Schedule A of Partnervest Advisory Services Llc
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Control person joined
Merlynn Rebecca Valdez (Director Of Invesments) appeared on Schedule A of Partnervest Advisory Services Llc
Form ADVobserved 4 days ago

Show 2 bookkeeping events

Occurred
Nov 25, 2020
Partnervest Advisory Services Llc reported 2 offices beyond its principal office, down from 40 (2020-11-09 to 2020-11-25)
Occurred
Nov 25, 2020
Partnervest Advisory Services Llc reported 8 state-registered advisory representatives, down from 45 (2020-11-09 to 2020-11-25)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b9a873cc-db88-28d9-8a12-60290cabb563
First observed: Mar 30, 2012
Last observed: Mar 30, 2021 66 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.

PARTNERVEST ADVISORY SERVICES LLC

CRD 113621

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:b9a873cc-db88-28d9-8a12-60290cabb563

Data as of Mar 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:00 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ELYSIAN CAPITAL HOLDINGS, LLC

Member

yes

07/2016

Mar 30, 2017

Mar 30, 2021

HYMAN, KENNETH, ROSS

Manager

yes

06/2001

Mar 30, 2012

Mar 30, 2021

HYMAN, KENNETH, ROSS

CHIEF EXECUTIVE OFFICER, PRESIDENT, TREASURER, CHIEF FINANCIAL OFFICER

yes

06/2001

Mar 30, 2012

Mar 30, 2021

MAHOTA, CHRISTINE, CATHERINE

CHIEF COMPLIANCE OFFICER

yes

11/2018

Nov 29, 2018

Mar 30, 2021

OWENS, ANGIE, CHEN

DIRECTOR OF OPERATIONS

yes

06/2016

Mar 29, 2019

Mar 30, 2021

PARTNERVEST FINANCIAL GROUP LLC

Member

yes

06/2001

Mar 30, 2012

Mar 30, 2021

VALDEZ, REBECCA, MERLYNN

DIRECTOR OF INVESMENTS

yes

07/2017

Mar 29, 2019

Mar 30, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PARTNERVEST INSURANCE GROUP

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 30, 2021

$135,225

n/a

2019

Mar 31, 2020

$715M

$662M

n/a

2018

Mar 29, 2019

$589M

$578M

n/a

2017

Mar 30, 2018

$525M

n/a

2016

Mar 30, 2017

$523M

n/a

2015

Mar 31, 2016

$514M

n/a

2014

Mar 27, 2015

$446M

$436M

n/a

2013

Mar 28, 2014

$418M

$400M

n/a

2012

Mar 28, 2013

$470M

$424M

n/a

2011

Mar 30, 2012

$436M

$387M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$135,225

$715M

-100.0%

$525M

-93.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SMITH BRUER

Sep 30, 2016

Aug 19, 2016

SANTA BARBARA, CA

Team lift out

Other

10.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WELLS FARGO ADVISORS

Oct 25, 2018

Oct 15, 2018

MONTECITO, CA

Team lift out

Wirehouse to RIA

0.0%

INVEST FINANCIAL CORPORATION

Feb 18, 2015

Mar 4, 2015

TALLAHASSEE, FL

Team lift out

Other

0.5%