DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner31 years in industry

PHILIP JAMES RICASATA

Advisor at MARINER

Ventura, 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:c5e5b8f4-cd7a-630e-5e4e-f0ae59789847

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Feb 11, 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: MARINER
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 9, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Feb 9, 1995
First registration: Feb 11, 2004
Dual registered: no
Other names: PHIL RICASATA
IAPD individual key: 2585778

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
Mariner	Bd affiliated wealth	Apr 10, 2026	n/a	yes	Ventura, CA\|Ventura, CA	Current employment
CREATIVE PLANNING	Independent wealth	Apr 18, 2018	Apr 13, 2026	no	VENTURA, CA\|OVERLAND PARK, KS	Previous registration
WALPOLE FINANCIAL ADVISORS, LLC	Former SEC adviser	Sep 29, 2016	Apr 9, 2018	no	GOLETA, CA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jan 13, 2012	Sep 1, 2016	no	SANTA BARBARA, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jun 20, 2011	Nov 29, 2011	no	NEWBURY PARK, CA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 19, 2010	Dec 20, 2010	no	VENTURA, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 3, 2005	Jan 14, 2010	no	OXNARD, CA\|OXNARD, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 11, 2004	Apr 8, 2005	no	WESTLAKE VILLAGE, 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
CREATIVE PLANNING	Mariner	Apr 13, 2026	Apr 10, 2026	-3	Firm change	RIA to ibd
WALPOLE FINANCIAL ADVISORS, LLC	CREATIVE PLANNING	Apr 9, 2018	Apr 18, 2018	9	Firm change	RIA to RIA
STRATEGIC ADVISERS LLC	WALPOLE FINANCIAL ADVISORS, LLC	Sep 1, 2016	Sep 29, 2016	28	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	STRATEGIC ADVISERS LLC	Nov 29, 2011	Jan 13, 2012	45	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	CHASE INVESTMENT SERVICES CORP.	Dec 20, 2010	Jun 20, 2011	182	Firm change	Other
UBS FINANCIAL SERVICES INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 14, 2010	Jan 19, 2010	5	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Apr 8, 2005	Mar 3, 2005	-36	Firm change after gap	Wirehouse to wirehouse

Relationships

Registered with (8)

→ MARINERRegistered adviserregistration: current employment
Apr 10, 2026 to presentfactForm ADV
→ CREATIVE PLANNINGRegistered adviserregistration: previous registration
Apr 18, 2018 to Apr 13, 2026factForm ADV
→ WALPOLE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 29, 2016 to Apr 9, 2018factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jan 13, 2012 to Sep 1, 2016factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jun 20, 2011 to Nov 29, 2011factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 19, 2010 to Dec 20, 2010factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Mar 3, 2005 to Jan 14, 2010factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 11, 2004 to Apr 8, 2005factForm ADV

Dated events

Occurred
Apr 13, 2026
Advisor changed firm
Philip James Ricasata left Creative Planning for Mariner (registered 2026-04-10)
Form ADVobserved 6 days ago