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Former SEC-registered adviserFormer SEC adviser· Goleta, California

Former SEC-registered adviser, based in Goleta, California, reporting $754M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$754M
Form ADV
RAUM change, 1 year
-12%
Form ADV, consecutive annual filings
Private clients
58%
of RAUM, $437M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 29 Mar 2023, RAUM $861M to $754M (-12.4%) on the Form ADV filed 29 Mar 2023, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 140825 · SEC 801-67288 · 15 filingsShow
CRD 140825SEC 801-67288First filing on the tape Mar 28, 2012, latest Mar 29, 2023IAPD
RAUM
$754M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
58%
$437M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape

RAUM +1.6% a year over three years · the tape starts Mar 28, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$754M as of Mar 29, 2023
Mar 28, 2012$410M then
HNW client RAUM$238M as of Mar 29, 2023
Mar 29, 2018$605M then
State-registered IARs (5.B.3)2 as of Mar 29, 2023
Mar 28, 20120 then
Employees (5.A)2 as of Mar 29, 2023
Mar 1, 20133 then
Private funds: no history
RAUM -12% over the last fiscal year+1.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 29, 2023; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$377MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
9derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$19.8MderivedHNW RAUM over HNW clients
Average account
$3.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
42%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
-12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing

42% charitable organizations, 32% high-net-worth individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • Charitable organizations$317M42%
  • High-net-worth individuals$238M32%
  • Individuals$199M26%
Individual clients
5reported
HNW clients
12reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
198reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Where they went: the top destinations among the 2 most recent departures on the tape
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Advisors registered through the firm
    0 on IAPD today; the longest tenured first
    No representative is registered through this CRD on IAPD.
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Y••••• J•••••• S•••••• · Managing Member - Chief Compliance Officercontrol
      since 10/2005 · owns 75% or more
    • W••••••••• R•••• D••••• · Member
      since 01/2013 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Santa Barbara, Ca000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 189 to 198
      Mar 22, 2022 to Mar 29, 2023
    • HNW clients · 16 to 12
      Mar 22, 2022 to Mar 29, 2023
    • Individual clients · unset to 5.0
      Mar 22, 2022 to Mar 29, 2023
    • HNW RAUM · $491M to $238M
      Mar 22, 2022 to Mar 29, 2023
    • Individual RAUM · unset to 198777000.0
      Mar 22, 2022 to Mar 29, 2023
    Full history · 56 changes
    • Non-discretionary RAUM · $861M to $754M
      Mar 22, 2022 to Mar 29, 2023
    • RAUM · $861M to $754M
      Mar 22, 2022 to Mar 29, 2023
    • Accounts · 197 to 189
      Mar 9, 2021 to Mar 22, 2022
    • Charity clients · unset to 2.0
      Mar 9, 2021 to Mar 22, 2022
    • HNW clients · 22 to 16
      Mar 9, 2021 to Mar 22, 2022
    • HNW RAUM · $914M to $491M
      Mar 9, 2021 to Mar 22, 2022
    • Non-discretionary RAUM · $914M to $861M
      Mar 9, 2021 to Mar 22, 2022
    • RAUM · $914M to $861M
      Mar 9, 2021 to Mar 22, 2022
    • Related adviser · false to true
      Mar 9, 2021 to Mar 22, 2022
    • Accounts · 207 to 197
      Aug 18, 2020 to Mar 9, 2021
    • HNW clients · 23 to 22
      Aug 18, 2020 to Mar 9, 2021
    • HNW RAUM · $720M to $914M
      Aug 18, 2020 to Mar 9, 2021
    • Non-discretionary RAUM · $720M to $914M
      Aug 18, 2020 to Mar 9, 2021
    • RAUM · $720M to $914M
      Aug 18, 2020 to Mar 9, 2021
    • HQ city · SANTA BARBARA to GOLETA
      Jan 23, 2020 to Jun 4, 2020
    • Accounts · 232 to 207
      Mar 28, 2019 to Jan 23, 2020
    • HNW clients · 19 to 23
      Mar 28, 2019 to Jan 23, 2020
    • HNW RAUM · $649M to $720M
      Mar 28, 2019 to Jan 23, 2020
    • Non-discretionary RAUM · $649M to $720M
      Mar 28, 2019 to Jan 23, 2020
    • RAUM · $649M to $720M
      Mar 28, 2019 to Jan 23, 2020
    • Accounts · 188 to 232
      Mar 29, 2018 to Mar 28, 2019
    • HNW RAUM · $605M to $649M
      Mar 29, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $605M to $649M
      Mar 29, 2018 to Mar 28, 2019
    • RAUM · $605M to $649M
      Mar 29, 2018 to Mar 28, 2019
    • Accounts · 133 to 188
      Mar 24, 2017 to Mar 29, 2018
    • HNW clients · unset to 19.0
      Mar 24, 2017 to Mar 29, 2018
    • Insurance-licensed employees · 0 to 2
      Mar 24, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Mar 24, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 604700000.0
      Mar 24, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $250M to $605M
      Mar 24, 2017 to Mar 29, 2018
    • RAUM · $250M to $605M
      Mar 24, 2017 to Mar 29, 2018
    • Accounts · 176 to 133
      Mar 11, 2016 to Mar 24, 2017
    • Advisory activities · 2 to 3
      Mar 11, 2016 to Mar 24, 2017
    • Non-discretionary RAUM · $265M to $250M
      Mar 11, 2016 to Mar 24, 2017
    • RAUM · $265M to $250M
      Mar 11, 2016 to Mar 24, 2017
    • Accounts · 204 to 176
      Mar 19, 2015 to Mar 11, 2016
    • Non-discretionary RAUM · $366M to $265M
      Mar 19, 2015 to Mar 11, 2016
    • RAUM · $366M to $265M
      Mar 19, 2015 to Mar 11, 2016
    • Accounts · 133 to 204
      Nov 10, 2014 to Mar 19, 2015
    • Employees · 3 to 2
      Nov 10, 2014 to Mar 19, 2015
    • Non-discretionary RAUM · $237M to $366M
      Nov 10, 2014 to Mar 19, 2015
    • RAUM · $237M to $366M
      Nov 10, 2014 to Mar 19, 2015
    • Accounts · 147 to 133
      Mar 1, 2013 to Mar 19, 2014
    • Non-discretionary RAUM · $283M to $237M
      Mar 1, 2013 to Mar 19, 2014
    • RAUM · $283M to $237M
      Mar 1, 2013 to Mar 19, 2014
    • Accounts · 227 to 147
      Mar 28, 2012 to Mar 1, 2013
    • Advisory employees · unset to 2.0
      Mar 28, 2012 to Mar 1, 2013
    • Employees · unset to 3.0
      Mar 28, 2012 to Mar 1, 2013
    • State-registered IARs · 0 to 2
      Mar 28, 2012 to Mar 1, 2013
    • Non-discretionary RAUM · $410M to $283M
      Mar 28, 2012 to Mar 1, 2013
    • RAUM · $410M to $283M
      Mar 28, 2012 to Mar 1, 2013
    Signals
    5 dated events
    • ••• Locked
      Mar 8, 2024 · Advisor changed firm · fact
    • ••• Locked
      Mar 8, 2024 · Advisor changed firm · fact
    • ••• Locked
      Mar 8, 2024 · Team lift-out · derived
    • ••• Locked
      Mar 9, 2021 · RAUM change · derived
    • ••• Locked
      Mar 29, 2018 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
    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
    Not computedderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026