AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.8 |
| Non-Discretionary | $0.0 |
| Total | $0.8 |
| Client | AUM |
|---|---|
| Retail | $0.8 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.8 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 7 | $0.0 |
| Average Individual AUM | $285,714 | |
| HNW | 8 | $0.8 |
| Average HNW AUM | $100,000,000 | |
| Retail Total | 15 | $0.8 |
| Average Retail AUM | $53,466,667 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| CITI PRIVATE BANK | NEW YORK-NY-USA | $0.6 |
| CITIGROUP GLOBAL MARKETS INC. | NEW YORK-NY-USA | $0.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.8 |
| Retail SMA AUM | $0.8 |
| 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 | 98% | $0.8 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.8 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
1 active representative found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| KEVIN ROOT | SANTA BARBARA | CA | S63|2009-01-07|S66|2010-03-19 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $0.8 | $0.0 | 0% | 2 | 0 | 0% |
| 2025-04-21 | $0.8 | $0.0 | 0% | 2 | 0 | 0% |
| 2024-04-02 | $0.8 | $0.0 | 5% | 2 | 0 | 0% |
| 2023-04-04 | $0.7 | $0.1 | 22% | 1 | 1 | 100% |
| 2022-04-01 | $0.9 | -$0.1 | -6% | 1 | 1 | 100% |
| 2021-04-05 | $0.8 | $0.0 | -2% | 1 | 1 | 100% |
| 2020-04-01 | $0.4 | $0.5 | 124% | 1 | 1 | 100% |
| 2019-04-01 | $0.4 | $0.4 | 95% | 1 | 1 | 100% |
| 2018-04-02 | $0.4 | $0.4 | 107% | 1 | 1 | 100% |
| 2017-04-01 | $0.5 | $0.4 | 76% | 1 | 1 | 100% |
| 2016-04-01 | $0.4 | $0.4 | 90% | 1 | 1 | 100% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| CA-06/24/2015, HI-01/17/2024 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV