DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Partnervest Advisory Services LLC

Former SEC-registered adviserSanta Barbara, CaliforniaCRD 113621SEC 801-62795IAPD
Latest filing Mar 30, 2021
First filing on the tape Mar 30, 2012 · 49 filings
RAUM
$135,225
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$135,225 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$135,225 as of Mar 30, 2021
Mar 30, 2012$436M then
HNW client RAUM$0 as of Mar 30, 2021
Mar 30, 2018$278M then
State-registered IARs (5.B.3)4 as of Mar 30, 2021
Mar 28, 201313 then
Employees (5.A)4 as of Mar 30, 2021
Mar 28, 201318 then
Private funds: no history
RAUM -100% over the last fiscal year-94% a year over threeIARs 45 to 4offices 40 to 0
Practice profile
derived from the filing of Mar 30, 2021; every figure names its basis
RAUM per advisor
$33,806derivedRAUM over IAPD advisors; not a book size
Clients per advisor
2derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$16,903derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
-91%derivedItem 5.B.3 between annual amendments
Client growth, one year
-100%derived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$135,225100%
Individual clients
6reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Ross Kenneth Hyman · Chief Executive Officer, President, Treasurer, Chief Financial Officercontrol
    since 06/2001 · owns less than 5%
  • Catherine Christine Mahota · Chief Compliance Officercontrol
    since 11/2018 · owns less than 5%
  • Chen Angie Owens · Director Of Operationscontrol
    since 06/2016 · owns less than 5%
  • Merlynn Rebecca Valdez · Director Of Invesmentscontrol
    since 07/2017 · owns less than 5%
  • Ross Kenneth Hyman · Managercontrol
    since 06/2001 · owns 25% to 50% of Partnervest Financial Group, LLC
Entity owners
  • Partnervest Financial Group LLC · Member
    direct · owns 75% or more
  • Elysian Capital Holdings, LLC · Member
    indirect · owns 25% to 50% of Partnervest Financial Group
Related persons
Schedule D 7.A
  • Partnervest Insurance Group
    real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · unset to 8.0
    Dec 7, 2020 to Mar 30, 2021
  • Advisory employees · 6 to 0
    Dec 7, 2020 to Mar 30, 2021
  • Individual clients · 0 to 6
    Dec 7, 2020 to Mar 30, 2021
  • Employees · 10 to 4
    Dec 7, 2020 to Mar 30, 2021
  • Insurance-licensed employees · 7 to 4
    Dec 7, 2020 to Mar 30, 2021
  • Financial planning clients · unset to 0
    Dec 7, 2020 to Mar 30, 2021
  • State-registered IARs · 8 to 4
    Dec 7, 2020 to Mar 30, 2021
  • Other offices · 2 to 0
    Dec 7, 2020 to Mar 30, 2021
  • Discretionary RAUM · unset to 135225.0
    Dec 7, 2020 to Mar 30, 2021
  • Individual RAUM · $0 to $135,225
    Dec 7, 2020 to Mar 30, 2021
  • Non-discretionary RAUM · unset to 0.0
    Dec 7, 2020 to Mar 30, 2021
  • RAUM · unset to 135225.0
    Dec 7, 2020 to Mar 30, 2021
  • Related adviser · true to false
    Dec 7, 2020 to Mar 30, 2021
  • Related insurance company · true to false
    Dec 7, 2020 to Mar 30, 2021
  • Accounts · 2578.0 to unset
    Nov 9, 2020 to Nov 25, 2020
  • Advisory employees · 44 to 6
    Nov 9, 2020 to Nov 25, 2020
  • Advisory activities · 6 to 1
    Nov 9, 2020 to Nov 25, 2020
  • BD registered reps · 16 to 2
    Nov 9, 2020 to Nov 25, 2020
  • Corporate clients · 12 to 0
    Nov 9, 2020 to Nov 25, 2020
  • HNW clients · 162 to 0
    Nov 9, 2020 to Nov 25, 2020
  • Individual clients · 1,127 to 0
    Nov 9, 2020 to Nov 25, 2020
  • Pension plan clients · 13 to 0
    Nov 9, 2020 to Nov 25, 2020
  • Assets in custody · $114M to $0
    Nov 9, 2020 to Nov 25, 2020
  • Employees · 55 to 10
    Nov 9, 2020 to Nov 25, 2020
  • Insurance-licensed employees · 2 to 7
    Nov 9, 2020 to Nov 25, 2020
  • Financial planning clients · 26-50 to unset
    Nov 9, 2020 to Nov 25, 2020
  • State-registered IARs · 45 to 8
    Nov 9, 2020 to Nov 25, 2020
  • Other offices · 40 to 2
    Nov 9, 2020 to Nov 25, 2020
  • Discretionary RAUM · 661906574.0 to unset
    Nov 9, 2020 to Nov 25, 2020
  • HNW RAUM · $447M to $0
    Nov 9, 2020 to Nov 25, 2020
  • Individual RAUM · $234M to $0
    Nov 9, 2020 to Nov 25, 2020
  • Non-discretionary RAUM · 52623941.0 to unset
    Nov 9, 2020 to Nov 25, 2020
  • Pension RAUM · $5.8M to $0
    Nov 9, 2020 to Nov 25, 2020
  • RAUM · 714530515.0 to unset
    Nov 9, 2020 to Nov 25, 2020
  • Accounts · 2,267 to 2,578
    Jan 10, 2020 to Mar 31, 2020
  • Advisory employees · 42 to 44
    Jan 10, 2020 to Mar 31, 2020
  • BD registered reps · 14 to 16
    Jan 10, 2020 to Mar 31, 2020
  • Corporate clients · 9 to 12
    Jan 10, 2020 to Mar 31, 2020
  • HNW clients · 128 to 162
    Jan 10, 2020 to Mar 31, 2020
  • Individual clients · 1,084 to 1,127
    Jan 10, 2020 to Mar 31, 2020
Signals
8 dated events
  • Michael John Harline (Member) no longer on Schedule A of Partnervest Advisory Services Llc (listed 2020-12-07, absent 2021-03-30)
    Mar 30, 2021 · Control person left · inference
  • Nmn David Young (Chief Investment Officer) no longer on Schedule A of Partnervest Advisory Services Llc (listed 2020-12-07, absent 2021-03-30)
    Mar 30, 2021 · Control person left · inference
  • Nicholas Angelo Georggin (Member) no longer on Schedule A of Partnervest Advisory Services Llc (listed 2020-12-07, absent 2021-03-30)
    Mar 30, 2021 · Control person left · inference
  • Partnervest Advisory Services Llc reported 2 offices beyond its principal office, down from 40 (2020-11-09 to 2020-11-25)
    Nov 25, 2020 · Office count change · derived
  • Partnervest Advisory Services Llc reported 8 state-registered advisory representatives, down from 45 (2020-11-09 to 2020-11-25)
    Nov 25, 2020 · Advisor headcount change · derived
  • Marie Paula Rezza (Member) no longer on Schedule A of Partnervest Advisory Services Llc (listed 2020-11-09, absent 2020-11-25)
    Nov 25, 2020 · Control person left · inference
  • Chen Angie Owens (Director Of Operations) appeared on Schedule A of Partnervest Advisory Services Llc
    Mar 29, 2019 · Control person joined · fact
  • Merlynn Rebecca Valdez (Director Of Invesments) appeared on Schedule A of Partnervest Advisory Services Llc
    Mar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026