Richard A. Schuette

AVALAN

SANTA BARBARA, CA 93101

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CRD#: 2907767

Professional summary

Richard Allen Schuette JR, CFP®, who also goes by Rich Schuette, Richard Schuette, is a registered financial advisor currently at AVALAN, LLC located in Santa Barbara, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Tax Planning

Employee and Employer Plan Ben...

Estate Planning

Business Succession Planning

Comprehensive Financial Planni...

Investment Planning

Insurance Planning

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

Rich Schuette | Richard Schuette

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.

RICH A SCHUETTE/AGENT-REP/100% OWNER/2% TIME/INSURANCE -- VARIOUS LIFE AND HEALTH AS A SPLIT AGENT WITH OTHER AGENTS. AGENTS INCLUDE ROBERT KULLE AND THOMAS MEANS. AVALAN WEALTH 100% OWNER. TREASURER FOR ENDOWMENT AT CHURCH. PRESIDENT ENSEMBLE THEATRE NO COMPENSATION ENDS JULY 2015. BOARD MEMBER UNIVERSITY CLUB OF SANTA BARBARA NO COMPENSATION ENDS NOVEMBER 2015.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Allen Schuette JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

March 17, 2011 - Present

AVALAN, LLC

Office #1: 233 E Carillo Suite B, Santa Barbara, CA 93101

RIA

CRD#: 156109

SANTA BARBARA, CA

Past

October 12, 2006 - December 17, 2013

VIDA WEALTH PARTNERS, INC.

RIA

CRD#: 140824

SANTA BARBARA, CA

Past

October 17, 2005 - October 22, 2014

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

SANTA BARBARA, CA

Past

October 17, 2005 - October 22, 2014

GIRARD SECURITIES, INC.

CRD#: 18697

SANTA BARBARA, CA

Past

October 11, 2002 - October 17, 2005

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

BEAVERCREEK, OH

Past

May 31, 2001 - October 11, 2002

GOLD COAST SECURITIES, INC.

CRD#: 110925

THOUSAND OAKS, CA

Past

September 23, 1998 - December 31, 2001

LONDON PACIFIC SECURITIES, INC.

CRD#: 25089

SACRAMENTO, CA

Past

June 26, 1997 - September 23, 1998

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

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".

AVALAN, LLC

AVALAN | AVALAN, LLC

CRD#: 156109 / SEC#: 801-107405

RIA

Registered Investment Advisory firm - (3/16/2016 Approved)

California

Registered Investment Advisory firm - (7/27/2016 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/17/2011)

IAR

Washington
(4/8/2022)

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: 9/22/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/25/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/22/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/25/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/31/1998

General Securities Principal Examination

Current Firm

AVALAN, LLC

AVALAN | AVALAN, LLC

CRD#: 156109 / SEC#: 801-107405

RIA

Registered Investment Advisory firm - (3/16/2016 Approved)

California

Registered Investment Advisory firm - (7/27/2016 Terminated)

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Contact information

Main Address

233 E Carillo Suite B, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 962-7725

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AVALAN, LLC PART 2A (9/23/2025)

Regulatory assets under management

Total Number of Accounts	629
AUM (Assets Under Management)	$ 488,859,570

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Richard A. Schuette

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Allen Schuette JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

VIDA WEALTH PARTNERS, INC.

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

WESTMINSTER FINANCIAL SECURITIES, INC.

GOLD COAST SECURITIES, INC.

LONDON PACIFIC SECURITIES, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

AVALAN, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/22/1998

Series 63

Date: 6/25/1997

SIE

Date: 10/22/2014

Series 7

Date: 8/26/1997

Series 6

Date: 6/25/1997

Series 24

Date: 12/31/1998

Current Firm

AVALAN, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVALAN, LLC

TRUST BUT VERIFY

Contact information

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