Andrew R. Fuller

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CRD#: 2585202

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Andrew Ronald Fuller was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1996. Andrew had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 24 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 17, 2019 - January 5, 2021

ALAMAR CAPITAL MANAGEMENT, LLC

RIA

CRD#: 154413

Santa Barbara, CA

Past

July 1, 2013 - October 14, 2019

MUTUAL ADVISORS, LLC

RIA

CRD#: 167658

CASPER, WY

Past

March 3, 2011 - July 9, 2013

MUTUAL SECURITIES, INC.

RIA

CRD#: 13092

SANTA BARBARA, CA

Past

January 20, 2005 - March 28, 2013

MUTUAL SECURITIES, INC.

CRD#: 13092

SANTA BARBARA, CA

Past

February 21, 2001 - October 3, 2001

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

January 2, 2001 - January 30, 2003

THE SEIDLER COMPANIES INCORPORATED

CRD#: 3911

LOS ANGELES, CA

Past

September 21, 2000 - January 2, 2001

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

December 2, 1999 - September 21, 2000

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

October 20, 1998 - November 18, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 3, 1996 - January 31, 1997

FULLER APARTMENT HOMES SECURITIES, INC.

CRD#: 38010

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALAMAR CAPITAL MANAGEMENT, LLC

CRD#: 154413 / SEC#: 801-119070

RIA

Registered Investment Advisory firm - (7/16/2020 Approved)

California

Registered Investment Advisory firm - (8/22/2020 Terminated)

Illinois

Registered Investment Advisory firm - (7/16/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/16/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/14/1998

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/17/1995

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/10/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 5/15/1995

Direct Participation Programs Principal Examination

Current Firm

ALAMAR CAPITAL MANAGEMENT, LLC

CRD#: 154413 / SEC#: 801-119070

RIA

Registered Investment Advisory firm - (7/16/2020 Approved)

California

Registered Investment Advisory firm - (8/22/2020 Terminated)

Illinois

Registered Investment Advisory firm - (7/16/2020 Terminated)

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Contact information

Main Address

200 E Carrillo Suite 304, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 897-1144

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALAMAR CAPITAL MANAGMENT, LLC FORM ADV PART 2A (2/28/2025)

Regulatory assets under management

Total Number of Accounts	209
AUM (Assets Under Management)	$ 251,395,704

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Andrew R. Fuller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MUTUAL ADVISORS, LLC

MUTUAL SECURITIES, INC.

MUTUAL SECURITIES, INC.

INDEPENDENT FINANCIAL GROUP, LLC

THE SEIDLER COMPANIES INCORPORATED

INDEPENDENT FINANCIAL GROUP, LLC

ROUND HILL SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

FULLER APARTMENT HOMES SECURITIES, INC.

Primary Firm SEC Registration

ALAMAR CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/1998

Series 63

Date: 4/17/1995

Series 7

Date: 10/14/1998

Series 22

Date: 4/17/1995

Series 24

Date: 1/10/2000

Series 39

Date: 5/15/1995

Current Firm

ALAMAR CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALAMAR CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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