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CRD 154413
SANTA BARBARA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| LEO JOHN MURPHY | Chartered Financial Analyst | SANTA BARBARA, CA | 15 | 27 | 2 | no |
| GEORGE MATHEW THARAKAN | Chartered Financial Analyst | SANTA BARBARA, CA | 15 | 26 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| MURPHY, LEO, JOHN | CEO, CCO | D | yes | 01/2010 | Jun 16, 2020 | Jun 21, 2024 |
| THARAKAN, GEORGE, MATHEW | Cio | D | yes | 01/2010 | Jun 16, 2020 | Jun 21, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Winnetka | IL | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 26, 2026 | $260M | $236M | 3 | 2 | 0 | n/a | n/a |
| 2024 | Feb 28, 2025 | $251M | $251M | 3 | 2 | 0 | n/a | n/a |
| 2023 | Feb 23, 2024 | $228M | $228M | 4 | 3 | 1 | n/a | n/a |
| 2022 | Mar 24, 2023 | $172M | $172M | 4 | 3 | 1 | n/a | n/a |
| 2021 | Mar 9, 2022 | $198M | $198M | 5 | 3 | 1 | n/a | n/a |
| 2020 | Mar 23, 2021 | $165M | $165M | 4 | 4 | 0 | 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 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $260M | $251M | 3.5% | $172M | 14.8% | 3 | 3 | 0 | 0 |