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Former SEC-registered adviserFormer SEC adviser· Santa Barbara, California

Former SEC-registered adviser, based in Santa Barbara, California, reporting $121M of regulatory assets.

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

Last reported RAUM
$121M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+3.3%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $121M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 9 Form ADV filings for this adviser, the latest 6.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 281806 · SEC 801-106860 · 9 filingsShow
CRD 281806SEC 801-106860First filing on the tape Oct 23, 2015, latest Mar 30, 2020IAPD
RAUM
$121M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$121M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
9 filings and snapshots on the tape
RAUM$121M as of Mar 30, 2020
Mar 1, 2016$100M then
HNW client RAUM$121M as of Mar 30, 2020
Mar 24, 2018$120M then
State-registered IARs (5.B.3)2 as of Mar 30, 2020
Mar 1, 20162 then
Employees (5.A)2 as of Mar 30, 2020
Mar 1, 201611 then
Private funds: no history
RAUM +3.3% over the last fiscal year+5.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2020; every figure names its basis
RAUM per advisor
$60.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$30.3MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM 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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.3%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, 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
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$121M100%
Individual clients
n/areported
HNW clients
4reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
68reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••• R••••••• E••••• · Chief Compliance Officercontrol
        since 10/2015 · owns less than 5%
      • N••••••• D••••• L•• · Assistant Compliance Officercontrol
        since 06/2015 · owns less than 5%
      • F•••• R••••••• E••••• · Managing Membercontrol
        since 07/2018 · owns 50% to 75% of L•••••• H•••••• C•••••• L••
      • N••••••• D••••• L•• · Managing Membercontrol
        since 07/2018 · owns 25% to 50% of L•••••• H•••••• C•••••• L••
      Entity owners
      • L•••••• F••••• O•••••• L•• · Managing Member
        direct · owns 75% or more
      • L•••••• H•••••• C•••••• L•• · Member
        indirect · owns 75% or more of L•••••• F••••• O•••••• L••
      Related persons
      Schedule D 7.A
      • L•••••• T•••• C••••••• L••
        n
      • R•••••• E••••• F•••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 70 to 68
        Mar 31, 2019 to Mar 30, 2020
      • Advisory activities · 3 to 4
        Mar 31, 2019 to Mar 30, 2020
      • Discretionary RAUM · $117M to $121M
        Mar 31, 2019 to Mar 30, 2020
      • HNW RAUM · $117M to $121M
        Mar 31, 2019 to Mar 30, 2020
      • RAUM · $117M to $121M
        Mar 31, 2019 to Mar 30, 2020
      • Accounts · 61 to 70
        Aug 16, 2018 to Mar 31, 2019
      • HNW clients · 5 to 4
        Aug 16, 2018 to Mar 31, 2019
      • Discretionary RAUM · $120M to $117M
        Aug 16, 2018 to Mar 31, 2019
      • HNW RAUM · $120M to $117M
        Aug 16, 2018 to Mar 31, 2019
      • RAUM · $120M to $117M
        Aug 16, 2018 to Mar 31, 2019
      • Accounts · 5 to 61
        Mar 24, 2018 to Apr 9, 2018
      • Accounts · 47 to 5
        Mar 30, 2017 to Mar 24, 2018
      • HNW clients · unset to 5.0
        Mar 30, 2017 to Mar 24, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 24, 2018
      • Discretionary RAUM · $105M to $120M
        Mar 30, 2017 to Mar 24, 2018
      • HNW RAUM · unset to 119745565.0
        Mar 30, 2017 to Mar 24, 2018
      • RAUM · $105M to $120M
        Mar 30, 2017 to Mar 24, 2018
      • Accounts · 8 to 47
        Mar 1, 2016 to Mar 30, 2017
      • Advisory employees · 3 to 2
        Mar 1, 2016 to Mar 30, 2017
      • Advisory activities · 4 to 3
        Mar 1, 2016 to Mar 30, 2017
      • Employees · 11 to 2
        Mar 1, 2016 to Mar 30, 2017
      • Financial planning clients · 0 to 1-10
        Mar 1, 2016 to Mar 30, 2017
      • Discretionary RAUM · $99.1M to $105M
        Mar 1, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $918,434 to $0
        Mar 1, 2016 to Mar 30, 2017
      • RAUM · $100M to $105M
        Mar 1, 2016 to Mar 30, 2017
      • Accounts · unset to 8.0
        Oct 23, 2015 to Mar 1, 2016
      • Advisory employees · 0 to 3
        Oct 23, 2015 to Mar 1, 2016
      • Employees · 0 to 11
        Oct 23, 2015 to Mar 1, 2016
      • Financial planning clients · unset to 0
        Oct 23, 2015 to Mar 1, 2016
      • State-registered IARs · 0 to 2
        Oct 23, 2015 to Mar 1, 2016
      • Discretionary RAUM · unset to 99147943.0
        Oct 23, 2015 to Mar 1, 2016
      • Non-discretionary RAUM · unset to 918434.0
        Oct 23, 2015 to Mar 1, 2016
      • RAUM · unset to 100066377.0
        Oct 23, 2015 to Mar 1, 2016
      Signals
      1 dated events
      • ••• Locked
        Oct 23, 2015 · 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.
      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