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.
SEC-registered adviser
Avalan, LLC
Latest filing Mar 17, 2026
First filing on the tape Aug 5, 2013 · 26 filings
SEC status approved since Mar 16, 2016
RAUM
$622M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
68%
$425M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$56.5M
derived; firm RAUM over IAPD count
Employees
11
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$622M as of Mar 17, 2026
Apr 28, 2014$70.0M then
HNW client RAUM$352M as of Mar 17, 2026
Mar 20, 2018$132M then
State-registered IARs (5.B.3)11 as of Mar 17, 2026
Apr 28, 20142 then
Employees (5.A)11 as of Mar 17, 2026
Apr 28, 20143 then
Private funds1 as of Mar 17, 2026
May 1, 20241 then
RAUM +27% over the last fiscal year+21% a year over threeIARs 0 to 11
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $56.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $809,671derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$352M61%
- Pension and profit-sharing plans$90.2M16%
- Individuals$72.8M13%
- Charitable organizations$31.5M5.5%
- Insurance companies$27.8M4.8%
- Individual clients
- 144reported
- HNW clients
- 121reported
- Pension plan clients
- 35reported
- Charitable clients
- 6reported
- Accounts
- 768reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.68 fund_share=0.0 institutional_share=0.24 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Richard Allen SchuetteCertified Financial Planner | Santa Barbara, Ca | Mar 17, 2011 | 29 y | 2 |
| Kathryn E Courain | Santa Barbara, Ca | Jan 29, 2016 | 23 y | 1 |
| Elizabeth Ann SaghiCertified Financial Planner | Santa Barbara, Ca | Sep 25, 2017 | 29 y | 2 |
| Jeffrey Charles Hall | Santa Barbara, Ca | May 7, 2018 | 28 y | 0 |
| Casey William SlemmonsCertified Financial Planner | Santa Barbara, Ca | Jul 17, 2019 | 17 y | 1 |
| Jeffrey Frank Jagard | Santa Barbara, Ca | Aug 26, 2021 | 20 y | 2 |
| Peter White MadlemChartered Financial Analyst | Santa Barbara, Ca | Jan 14, 2022 | 40 y | 0 |
| Sean Peter Madlem | Santa Barbara, Ca | Jan 27, 2023 | 12 y | 0 |
| Rick Jay Weber | Santa Barbara, Ca | May 15, 2023 | 20 y | 0 |
| Jeffery Dale ThompsonCertified Financial Planner | Santa Barbara, Ca | Jan 1, 2025 | 15 y | 3 |
| Valeria Chepilev | Santa Barbara, Ca | Jan 1, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Melissa M Estrada to Fidela WealthOct 27, 2023 · RIA to a state-registered adviser
- Austin Deimel Muller to Creativeone Wealth, LLCMar 5, 2023 · RIA to RIA
- Aaron David Ritter to Abundant Wealth Partners, LLCDec 31, 2021 · RIA to RIA
- Andrew Steven Brooks to Village Wealth AdvisorsNov 26, 2019 · RIA to RIA
- Jon Westfall Courtney to Village Wealth AdvisorsNov 8, 2019 · RIA to RIA
- Nayivi Veronica Velez to Village Wealth AdvisorsNov 8, 2019 · RIA to RIA
Joined, latest
- Jeffery Dale Thompson from Composition Wealth, LLCJan 1, 2025 · RIA to RIA
- Jeffrey Frank Jagard from Composition Wealth, LLCAug 26, 2021 · RIA to RIA
- Melissa M Estrada from Composition Wealth, LLCAug 5, 2019 · RIA to RIA
- Casey William Slemmons from Empower Advisory Group, LLCJul 17, 2019 · Other
- Aaron David Ritter from Abundant Wealth Partners, LLCSep 25, 2017 · Other
- Elizabeth Ann Saghi from Abundant Wealth Partners, LLCSep 25, 2017 · Other
- Jon Westfall Courtney from Alexandria CapitalMar 4, 2016 · Other
- Nayivi Veronica Velez from Alexandria CapitalMar 3, 2016 · Other
- Kathryn E Courain from The J R Baker GroupJan 29, 2016 · Other
- Richard Allen Schuette from Vida Wealth Partners, Inc.Mar 17, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Village Wealth AdvisorsNov 8, 2019 · Santa Barbara, Ca
- 2 joined from Alexandria CapitalApr 7, 2016 · Westlake Village, Ca
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Avalan Opportunity Fund I, LLC | Private Equity Fund | $800,000 | 8 | Nov 17, 2023 |
Owners and control persons
Schedule A and B, latest filing
- E Kathryn Courain · Shareholdercontrolsince 04/2016 · owns 10% to 25%
- White Peter Madlem · Shareholdercontrolsince 09/2022 · owns 10% to 25%
- Allen Richard Schuette · Managing Member & Chief Compliance Officercontrolsince 02/2011 · owns 75% or more
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 | 11 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Thousand Oaks, CA2 employees
- Solvang, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 629 to 768Sep 23, 2025 to Mar 17, 2026
- Advisory employees · 10 to 11Sep 23, 2025 to Mar 17, 2026
- HNW clients · 106 to 121Sep 23, 2025 to Mar 17, 2026
- Individual clients · 149 to 144Sep 23, 2025 to Mar 17, 2026
- Pension plan clients · 26 to 35Sep 23, 2025 to Mar 17, 2026
- Employees · 10 to 11Sep 23, 2025 to Mar 17, 2026
- State-registered IARs · 0 to 11Sep 23, 2025 to Mar 17, 2026
- Discretionary RAUM · $473M to $544MSep 23, 2025 to Mar 17, 2026
- HNW RAUM · $293M to $352MSep 23, 2025 to Mar 17, 2026
- Individual RAUM · $61.0M to $72.8MSep 23, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $15.8M to $77.5MSep 23, 2025 to Mar 17, 2026
- Pension RAUM · $72.3M to $90.2MSep 23, 2025 to Mar 17, 2026
- RAUM · $489M to $622MSep 23, 2025 to Mar 17, 2026
- Accounts · 620 to 629Oct 8, 2024 to Mar 24, 2025
- Charity clients · 7 to 6Oct 8, 2024 to Mar 24, 2025
- HNW clients · 101 to 106Oct 8, 2024 to Mar 24, 2025
- Individual clients · 135 to 149Oct 8, 2024 to Mar 24, 2025
- Pension plan clients · 30 to 26Oct 8, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 1-10Oct 8, 2024 to Mar 24, 2025
- Discretionary RAUM · $375M to $473MOct 8, 2024 to Mar 24, 2025
- HNW RAUM · $253M to $293MOct 8, 2024 to Mar 24, 2025
- Individual RAUM · $42.0M to $61.0MOct 8, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $30.1M to $15.8MOct 8, 2024 to Mar 24, 2025
- Pension RAUM · $54.7M to $72.3MOct 8, 2024 to Mar 24, 2025
- RAUM · $405M to $489MOct 8, 2024 to Mar 24, 2025
- Accounts · 628 to 620Nov 17, 2023 to Mar 20, 2024
- Advisory activities · 3 to 4Nov 17, 2023 to Mar 20, 2024
- Charity clients · 8 to 7Nov 17, 2023 to Mar 20, 2024
- HNW clients · 78 to 101Nov 17, 2023 to Mar 20, 2024
- Individual clients · 205 to 135Nov 17, 2023 to Mar 20, 2024
- Pension plan clients · 32 to 30Nov 17, 2023 to Mar 20, 2024
- Financial planning clients · 11-25 to 1-10Nov 17, 2023 to Mar 20, 2024
- State-registered IARs · 2 to 0Nov 17, 2023 to Mar 20, 2024
- Discretionary RAUM · $324M to $375MNov 17, 2023 to Mar 20, 2024
- HNW RAUM · $197M to $253MNov 17, 2023 to Mar 20, 2024
- Individual RAUM · $67.3M to $42.0MNov 17, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $24.9M to $30.1MNov 17, 2023 to Mar 20, 2024
- Pension RAUM · $39.3M to $54.7MNov 17, 2023 to Mar 20, 2024
- RAUM · $349M to $405MNov 17, 2023 to Mar 20, 2024
- Private funds · unset to 1Apr 3, 2023 to Nov 17, 2023
Signals
7 dated events
- Avalan, Llc reported 11 state-registered advisory representatives, up from 0 (2025-09-23 to 2026-03-17)Mar 17, 2026 · Advisor headcount change · derived
- Avalan, Llc reported RAUM $621.8M, up 27% from $488.9M (2025-09-23 to 2026-03-17)Mar 17, 2026 · RAUM change · derived
- Melissa M Estrada left Avalan, Llc for Fidela Wealth (registered 2023-08-29)Oct 27, 2023 · Advisor changed firm · fact
- White Peter Madlem (Shareholder) appeared on Schedule A of Avalan, LlcApr 3, 2023 · Control person joined · fact
- Austin Deimel Muller left Avalan, Llc for Creativeone Wealth, Llc (registered 2023-03-03)Mar 5, 2023 · Advisor changed firm · fact
- Avalan, Llc reported RAUM $452.3M, up 64% from $275.9M (2021-03-15 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- Avalan, Llc filed its initial SEC registration (Form ADV)Aug 5, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Avalan, LLC · Independent Sponsorsshared crd · capital_provider
- Avalan, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 415-816-8868reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- winewomenworth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 805-962-7725reportedpublic record, Form ADV, Mar 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $56.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026