Adviser Profile

As of Date 06/04/2026
Registration SEC, Approved, 03/28/2013
Other registrations (1)
ADV Location SANTA BARBARA, CA, United States
Contact Info 805 xxxxxxx
Websites
AUM* 552,413,654 35%
of that, discretionary 549,914,757 35%
Number of Employees 6
of those in investment advisory functions 4
Private Fund GAV* 0
Avg Account Size 567,160 20%
% High Net Worth 45.40% 128%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Publication of periodicals or newsletters
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Reported AUM

550M 471M 393M 314M 236M 157M 79M
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

Employees

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Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker464287226 Stock NameISHARES TR $ Position$20,301,507 % Position7.00% $ Change10.00% # Change10.00%
Stck Ticker922908553 Stock NameVANGUARD INDEX FDS $ Position$17,868,006 % Position6.00% $ Change6.00% # Change6.00%
Stck Ticker464287804 Stock NameISHARES TR $ Position$16,585,839 % Position5.00% $ Change6.00% # Change3.00%
Stck Ticker46432F859 Stock NameISHARES TR $ Position$15,779,720 % Position5.00% $ Change7.00% # Change7.00%
Stck Ticker464287200 Stock NameISHARES TR $ Position$15,001,076 % Position5.00% $ Change-1.00% # Change4.00%
Stck Ticker46432F842 Stock NameISHARES TR $ Position$11,569,358 % Position4.00% $ Change3.00% # Change1.00%
Stck Ticker464287507 Stock NameISHARES TR $ Position$13,540,510 % Position4.00% $ Change5.00% # Change3.00%
Stck Ticker464287705 Stock NameISHARES TR $ Position$12,080,841 % Position4.00% $ Change3.00% # Change2.00%
Stck Ticker808524508 Stock NameSCHWAB STRATEGIC TR $ Position$10,784,421 % Position4.00% $ Change-2.00% # Change-5.00%
Stck Ticker464288273 Stock NameISHARES TR $ Position$11,087,706 % Position4.00% $ Change2.00% # Change0.00%

Brochure Summary