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B••• M••••• I•••••••••

Independent wealth managerSEC-registered· Santa Barbara, Californiawebsite

Independent wealth manager, based in Santa Barbara, California, reporting $205M of regulatory assets across 3 registered advisors.

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

As of 2026-05-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $205M
Advisors: 3
Net advisor flow, 12 months: 0
RAUM change, 1 year: +13%
Private clients: 91%

See where advisers went See teams that moved

Advisors (3)Where the RAUM sits

As of 2026-05-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+13.0%
RAUM, one year
RAUM $181M to $205M (+13.0%) on the Form ADV filed 7 May 2026, while advisors on the filing held at 3.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 141354 · SEC 801-120447 · 21 filingsShow

CRD 141354SEC 801-120447Legal name B••• M••••• I••••••••• L••First filing on the tape Feb 3, 2021, latest May 7, 2026SEC status approved since Mar 5, 2021IAPD

RAUM

$205M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

91%

$186M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$68.4M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM +18% a year over three years · the tape starts Feb 3, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$205M as of May 7, 2026

Mar 25, 2022$135M then

HNW client RAUM$136M as of May 7, 2026

Mar 25, 2022$82.3M then

State-registered IARs (5.B.3)3 as of May 7, 2026

Mar 25, 20223 then

Employees (5.A)3 as of May 7, 2026

Mar 25, 20223 then

Private funds: no history

RAUM +13% over the last fiscal year+18% a year over threeIARs 3 to 3

Practice profile

derived from the filing of May 7, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $68.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 79derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $498,923derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +9.1%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.9%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, publicationsreportedItem 5.G
Wrap fee program: $32.6MreportedItem 5.I
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

buys or sells securities as principal to or from clients (8.A.2)
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

66% high-net-worth individuals, 24% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$136M66%
Individuals$50.1M24%
Charitable organizations$17.7M8.7%
Corporations and businesses$1.2M0.6%

Individual clients: 188reported
HNW clients: 50reported
Pension plan clients: 0reported
Charitable clients: 4reported
Accounts: 411reported
Financial planning clients: reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 91% private clients, 0% pooled funds, 9% institutions; no related broker-dealer; no related bank; 200% of advisors also broker-dealer representativesderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

L•••• S•••• S••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Sep 5, 2018 · Wirehouse to independent RIA
A••••• A••••• T••••••• from C••••••••• F•••••••• N••••••
Apr 5, 2007 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
A••••• A••••• T•••••••	Santa Barbara, Ca	Apr 5, 2007	35 y	2
L•••• S•••• S•••••	Santa Barbara, Ca	Sep 5, 2018	42 y	3
S••••• K•••••• S••••	Santa Barbara, Ca	Jun 7, 2022	14 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••• L••••• S•••• · Chief Compliance Officer/Chief Administrative Officercontrol
since 01/2017 · owns 5% to 10%
T•••••••• A•••••• A••••• · Managing Membercontrol
since 08/2006 · owns 75% or more
S•••••• R•••••• B•••• · Member
since 04/2007 · owns 5% to 10%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Santa Barbara, Ca · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 395 to 411
Mar 31, 2026 to May 7, 2026
Individual clients · 185 to 188
Mar 31, 2026 to May 7, 2026
Discretionary RAUM · $198M to $205M
Mar 31, 2026 to May 7, 2026
HNW RAUM · $132M to $136M
Mar 31, 2026 to May 7, 2026
Individual RAUM · $46.9M to $50.1M
Mar 31, 2026 to May 7, 2026

Full history · 62 changes

RAUM · $198M to $205M
Mar 31, 2026 to May 7, 2026
Accounts · 407 to 395
Nov 12, 2025 to Mar 31, 2026
Charity clients · 3 to 4
Nov 12, 2025 to Mar 31, 2026
Corporate clients · 2 to 1
Nov 12, 2025 to Mar 31, 2026
HNW clients · 57 to 50
Nov 12, 2025 to Mar 31, 2026
Individual clients · 167 to 185
Nov 12, 2025 to Mar 31, 2026
Discretionary RAUM · $181M to $198M
Nov 12, 2025 to Mar 31, 2026
HNW RAUM · $124M to $132M
Nov 12, 2025 to Mar 31, 2026
Individual RAUM · $34.4M to $46.9M
Nov 12, 2025 to Mar 31, 2026
RAUM · $181M to $198M
Nov 12, 2025 to Mar 31, 2026
Accounts · 241 to 407
May 28, 2024 to Mar 20, 2025
HNW clients · 44 to 57
May 28, 2024 to Mar 20, 2025
Individual clients · 189 to 167
May 28, 2024 to Mar 20, 2025
Financial planning clients · unset to
May 28, 2024 to Mar 20, 2025
HQ city · SAN LUIS OBISPO to SANTA BARBARA
May 28, 2024 to Mar 20, 2025
Discretionary RAUM · $146M to $181M
May 28, 2024 to Mar 20, 2025
HNW RAUM · $92.0M to $124M
May 28, 2024 to Mar 20, 2025
Individual RAUM · $38.6M to $34.4M
May 28, 2024 to Mar 20, 2025
RAUM · $146M to $181M
May 28, 2024 to Mar 20, 2025
Advisory employees · 4 to 3
Mar 21, 2024 to May 28, 2024
BD registered reps · 3 to 2
Mar 21, 2024 to May 28, 2024
Employees · 4 to 3
Mar 21, 2024 to May 28, 2024
State-registered IARs · 4 to 3
Mar 21, 2024 to May 28, 2024
Advisory employees · 3 to 4
Sep 15, 2023 to Mar 21, 2024
BD registered reps · 2 to 3
Sep 15, 2023 to Mar 21, 2024
HNW clients · 39 to 44
Sep 15, 2023 to Mar 21, 2024
Individual clients · 197 to 189
Sep 15, 2023 to Mar 21, 2024
Employees · 3 to 4
Sep 15, 2023 to Mar 21, 2024
State-registered IARs · 3 to 4
Sep 15, 2023 to Mar 21, 2024
Discretionary RAUM · $123M to $146M
Sep 15, 2023 to Mar 21, 2024
HNW RAUM · $74.7M to $92.0M
Sep 15, 2023 to Mar 21, 2024
Individual RAUM · $35.0M to $38.6M
Sep 15, 2023 to Mar 21, 2024
RAUM · $123M to $146M
Sep 15, 2023 to Mar 21, 2024
Accounts · 340 to 241
Dec 12, 2022 to Feb 14, 2023
HNW clients · 33 to 39
Dec 12, 2022 to Feb 14, 2023
Individual clients · 173 to 197
Dec 12, 2022 to Feb 14, 2023
Discretionary RAUM · $135M to $123M
Dec 12, 2022 to Feb 14, 2023
HNW RAUM · $82.3M to $74.7M
Dec 12, 2022 to Feb 14, 2023
Individual RAUM · $36.0M to $35.0M
Dec 12, 2022 to Feb 14, 2023
RAUM · $135M to $123M
Dec 12, 2022 to Feb 14, 2023
Advisory employees · 4 to 3
Jun 9, 2022 to Aug 15, 2022
BD registered reps · 3 to 2
Jun 9, 2022 to Aug 15, 2022
Employees · 4 to 3
Jun 9, 2022 to Aug 15, 2022
State-registered IARs · 4 to 3
Jun 9, 2022 to Aug 15, 2022
Advisory employees · 3 to 4
Mar 25, 2022 to Jun 9, 2022
BD registered reps · 2 to 3
Mar 25, 2022 to Jun 9, 2022
Employees · 3 to 4
Mar 25, 2022 to Jun 9, 2022
State-registered IARs · 3 to 4
Mar 25, 2022 to Jun 9, 2022
Accounts · 174 to 340
Jan 3, 2022 to Mar 25, 2022
Corporate clients · 1 to 2
Jan 3, 2022 to Mar 25, 2022
HNW clients · 27 to 33
Jan 3, 2022 to Mar 25, 2022
Individual clients · 143 to 173
Jan 3, 2022 to Mar 25, 2022
Discretionary RAUM · $110M to $135M
Jan 3, 2022 to Mar 25, 2022
HNW RAUM · $62.9M to $82.3M
Jan 3, 2022 to Mar 25, 2022
Individual RAUM · $31.8M to $36.0M
Jan 3, 2022 to Mar 25, 2022
Non-discretionary RAUM · $1.5M to $0
Jan 3, 2022 to Mar 25, 2022
RAUM · $112M to $135M
Jan 3, 2022 to Mar 25, 2022

Signals

2 dated events

••• Locked
Mar 20, 2025 · ria hq relocated · fact
••• Locked
Feb 3, 2021 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, May 7, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 7, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026

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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $68.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026