Advisor at Filippini Investment Advisory
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Filippini Investment Advisory
Location
Santa Barbara, CA 93101
Credentials
Series 63, Series 65, Series 66
Industry experience
17 years
Iaian Filippini is a financial advisor at Filippini Investment Advisory with 17 years of industry experience. He holds Series 63, 65, and 66 registrations and has worked at firms including Alexander Capital, LP, Rcx Capital Group, LLC, and Montecito Wealth Management, LLC. Outside of his advisory role, he serves on the board of directors for 911 At Ease International, a nonprofit providing mental health services to first responders at no cost. Filippini Investment Advisory is a small, two-advisor firm serving individuals, high-net-worth clients, trusts, foundations, estates, and business plans. The firm provides financial planning, investment consultation, and portfolio management using a fundamental analysis and diversified, long-term asset allocation approach, managing portfolios directly on a non-discretionary basis.
Based on Filippini Investment Advisory
Fixed fees generally as low as $500 but may be substantially higher depending on complexity; billed quarterly
$0 - $250,000: 1.50% $250,001 - $500,000: 1.30% $500,001 - $1,000,000: 1.25% $1,000,001 - $2,000,000: 1.15% $2,000,001 - $3,000,000: 1.00% $3,000,001+: 0.85%
Commission compensation for insurance products and private placement securities through affiliated broker-dealer, not charged by advisory firm
$200 to $500 per hour for financial planning and investment consultation services
Fee-only: Hourly fees from $200 to $500 per hour; Fixed fees starting as low as $500, billed quarterly, may be higher depending on complexity
1203 De La Vina St
Santa Barbara, CA 93101
California
Alexander Capital, LP
2025 - Present (1 year)
Rcx Capital Group, Llc
2018 - Present (8 years)
Silver Portal Capital Llc
2017 - 2018 (1 year)
Montecito Wealth Management, LLC
2016 - Present (10 years)
Filippini Wealth Management Inc.
2010 - Present (16 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 63, Series 65
Santa Barbara, CA
Double Springs Capital LLC
Series 65
Santa Barbara, CA
Montecito Investment Strategies
Series 63, Series 65
Santa Barbara, CA
Peckham, David A
CFA®, Series 63
Santa Barbara, CA
Placera Capital Management LLC
Series 66
Santa Barbara, CA
Ironcrest Capital Management LLC
Series 66
Santa Barbara, CA
Duran Capital Management, LLC
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