IF
Iaian L. Filippini
FILIPPINI INVESTMENT ADVISORY
SANTA BARBARA, CA 93101
Some features on this profile are disabled
CRD#: 4708877
IF
Professional summary
Iaian L Filippini, who also goes by I L Filippini, Ian L Filippini, Ian Lucas Filippini, Iaian Lucas Flippini, is a registered financial advisor currently at FILIPPINI INVESTMENT ADVISORY located in Santa Barbara, California and ALEXANDER CAPITAL, L.P. located in Red Bank, New Jersey.
Iaian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Iaian has worked at 9 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 22 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
I L Filippini | Ian L Filippini | Ian Lucas Filippini | Iaian Lucas Flippini
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.
(1) OWNER/PRESIDENT OF "FILIPPINI WEALTH MANAGEMENT, INC.319 EAST CARRILLO STREET, SUITE 201, SANTA BARBARA, CA 93101/2945 TOWNSGATE ROAD, 2ND FLOOR, WESTLAKE VILLAGE, CALIFORNIA 91361" OFFERING ESTATE PLANNING, INSURANCE, REAL ESTATE, ACCOUNTING/ADMINISTRATION, AND TAX PREPARATION SERVICES SINCE 03/2010. INVESTMENT RELATED. APPROXIMATELY 120 HOURS WITH 20 DURING TRADING TIME SPENT. (2) OWNER/PRESIDENT OF "FILIPPINI REAL ESTATE BROKERAGE, INC.319 EAST CARRILLO STREET, SUITE 201, SANTA BARBARA, CA 93101/2945 TOWNSGATE ROAD, 2ND FLOOR, WESTLAKE VILLAGE, CALIFORNIA 91361" OFFERING REAL ESTATE SERVICES. INVESTMENT RELATED. APPROXIMATELY 1 HOUR PER MONTH WITH 1 DURING TRADING SINCE 12/2016. (3) OWNER/PRESIDENT OF "FILIPPINI FINANCIAL GROUP, INC. 319 EAST CARRILLO STREET, SUITE 201, SANTA BARBARA, CA 93101; BUSINESS IS INACTIVE. (4) MONTECITO WEALTH MANAGEMENT, LLC (DBA FILIPPINI INVESTMENT ADVISORY); INVESTMENT RELATED - YES; ADDRESS - 319 EAST CARRILLO STREET, SUITE 201, SANTA BARBARA, CA 93101/2945 TOWNSGATE ROAD, 2ND FLOOR, WESTLAKE VILLAGE, CALIFORNIA 91361; NATURE - INVESTMENT ADVISORY BUSINESS; POSITION - CEO/INVESTMENT ADVISOR; START DATE - 12/2016; APPROXIMATE NUMBER OF HOURS PER MONTH - 80 WITH ALL DURING TRADING HOURS; DUTIES - INVESTMENT ADVISOR REPRESENTATIVE. (5) IAIAN INSURANCE AGENCY, INC.; INVESTMENT RELATED; 319 EAST CARRILLO STREET, SUITE 201, SANTA BARBARA, CA 93101 & 2945 TOWNSGATE ROAD, 2ND FLOOR, WESTLAKE VILLAGE, CA 91361; INSURANCE AGENCY. LIFE INSURANCE, ANNUITIES, LTC, AND HEALTH INSURANCE. THIS ENTITY WILL BE A LICENCED INSURANCE AGENCY AND THE WRITING AGENT FOR ALL FIXED INSURANCE BUSINESS CURRENTLY BEING WRITTEN INDIVIDUALLY UNDER FILIPPINI WEALTH MANAGEMENT, INC.; EQUITY OWNER/CEO; 05/2021; APPROXIMATE NUMBER OF HOURS PER MONTH - 80 WITH 40 DURING TRADING HOURS; CEO AND INSURANCE AGENT. #6. 911 AT EASE INTERNATIONAL, INC.; NO; PO BOX 30363, SANTA BARBARA, CA 93130; 911 AEI EXISTS TO SUPPORT FIRST RESPONDERS AND THEIR FAMILIES, SO THEY CAN BE AT THEIR BEST TO SERVE THE COMMUNITY. THEY PROVIDE MENTAL HEALTH SERVICES TO FIRST RESPONDERS AT NO COST TO THE FIRSAT RESPONDERS; MEMBER OF THE BOARD OF DIRECTORS; 09/18/2023; 2 HOURS PER MONTH ALL DURING TRADING; MEMBER OF BOARD OF DIRECTORS,
CRS (Client Relationship Summary) - RIA
Click below to view Iaian L Filippini's 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®
NoneExperience
Current
December 22, 2016 - Present
FILIPPINI INVESTMENT ADVISORY
Office #1: 351 Paseo Nuevo 2nd Floor, Santa Barbara, CA 93101RIA
CRD#: 165943
SANTA BARBARA, CA
Current
October 9, 2025 - Present
ALEXANDER CAPITAL, L.P.
Office #1: 10 Drs James Parker Blvd Suite 202, Red Bank, NJ 07701BD
CRD#: 40077
Red Bank, NJ
Past
August 21, 2017 - December 31, 2024
RCX CAPITAL GROUP, LLC
BD
CRD#: 114290
THE WOODLANDS, TX
Past
December 12, 2008 - December 20, 2011
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
MONTECITO, CA
Past
December 12, 2008 - December 20, 2011
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
MONTECITO, CA
Past
April 27, 2005 - December 12, 2008
EPLANNING ADVISORS INC
RIA
CRD#: 109184
ROSEVILLE, CA
Past
April 27, 2005 - December 12, 2008
EPLANNING SECURITIES, INC.
BD
CRD#: 46000
MONTECITO, CA
Past
August 10, 2004 - April 26, 2005
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
CARPINTERIA, CA
Past
August 10, 2004 - April 26, 2005
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
RENTON, WA
Past
February 10, 2004 - August 19, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
CARPINTERIA, CA
Past
January 19, 2004 - August 19, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
California(12/22/2016)
RR
California(10/9/2025)
RR
Florida(10/9/2025)
RR
Massachusetts(10/9/2025)
RR
Nevada(10/9/2025)
RR
Texas(10/9/2025)
RR
Virginia(10/9/2025)
RR
Washington(10/9/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FILIPPINI INVESTMENT ADVISORY
FILIPPINI INVESTMENT ADVISORY | MONTECITO WEALTH MANAGEMENT LLC | MONTECITO WEALTH MANAGEMENT
CRD#: 165943 / SEC#:
California
Registered Investment Advisory firm - (3/7/2013 Approved)Texas
Registered Investment Advisory firm - (2/5/2025 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
351 Paseo Nuevo 2nd Floor, Santa Barbara, CA 93101
Mailing Address
Po Box 21708, Santa Barbara, CA 93121
Phone number
(805) 969-9690
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 178 |
| AUM (Assets Under Management) | $ 21,777,215 |
Red Flags
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Company Information
FILIPPINI INVESTMENT ADVISORY
CRD#: 165943Santa Barbara, CA 93101TRUST BUT VERIFY
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