AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.0 |
| Non-Discretionary | $0.3 |
| Total | $0.3 |
| Client | AUM |
|---|---|
| Retail | $0.3 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 27 | $0.3 |
| Average Individual AUM | $10,909,778 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 27 | $0.3 |
| Average Retail AUM | $10,909,778 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.3 |
| Retail SMA AUM | $0.3 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 0% | $0.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| No control persons found |
ADVDB.CO • SOURCE: SEC
4 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| DAVID BACKENS | SANTA BARBARA | CA | S65|2009-12-19 | ||||||
| MARGARET LONCKI | SANTA BARBARA | CA | S65|2023-07-13 | ||||||
| TODD DAWES | SANTA BARBARA | CA | S66|2000-06-28 | ||||||
| KELLY SMITH | SANTA BARBARA | CA | S65|2007-12-05|S66|1998-11-16 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| CA-01/01/2008 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV