AVALAN, LLC
Adviser information for AVALAN, LLC last updated from Form ADV on March 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 568 | $375.3M |
| Non-Discretionary | 52 | $30.1M |
| Total | 620 | $405.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 135 | $42.0M |
| HNW Individuals | 101 | $253.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 30 | $54.7M |
| Charitable organizations | 7 | $30.7M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $24.7M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-107405 |
|---|---|
| SEC ERA File Number | 801-107405 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 156109 |
| Legal Entity Identifier | None |
Principal Office
233 E CARILLOSUITE B
SANTA BARBARA
CA
United States
Monday - Friday, 9 A.M. - 5 P.M.
Tel: 805-962-7725, Fax: None
Websites
Chief Compliance Officer
RICHARD SCHUETTE
MANAGING MEMBER & CHIEF COMPLIANCE OFFICER
233 E CARILLO
SUITE B
SANTA BARBARA
CA
United States
Tel:
805-962-7725
R***@***************M
(Full email address available in API data)
Regulatory Contact
BLAKE BJORDAHL
REGULATORY CONSULTANT
P.O. BOX 6
PALOS VERDES ESTATES
CA
United States
Tel:
888.541.9694 XT 704
B****@**********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AVALAN OPPORTUNITY FUND I, LLC | Private Equity Fund | $0.8M | $0.0M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHUETTE, RICHARD, ALLEN | Individual | – | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 02/2011 | > 75% |
| COURAIN, KATHRYN, E | Individual | – | SHAREHOLDER | 04/2016 | 10-25% |
| MADLEM, PETER, WHITE | Individual | – | SHAREHOLDER | 09/2022 | 10-25% |