Filippini Investment Advisory
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$20,270,432
Clients
44
Advisors
2
of 2 employees
About
Filippini Investment Advisory is a small, two‑advisor registered investment adviser that works with individuals (including high‑net‑worth clients), trusts, foundations, estates and business plans. The firm offers financial planning, investment consultation and portfolio management services and reports about $20.6 million in assets under management across roughly 44 client relationships.
The firm’s investment process emphasizes fundamental analysis and a diversified, long‑term asset allocation approach, using a mix of ETFs, index and actively managed mutual funds, equities, fixed income, REITs and other vehicles as appropriate. Portfolios are managed directly by the firm (no third‑party asset managers or TAMPs) and services are provided on a non‑discretionary basis, requiring client pre‑approval for transactions and regular monitoring and periodic reviews.
Noteworthy distinctions include that the firm’s assets are managed non‑discretionarily (clients must approve trades) and that the principals maintain multiple outside industry roles: they operate an affiliated entity that presents monthly seminars, hold insurance licenses and real‑estate licensure through a related broker, and a principal is registered with a broker‑dealer and may recommend private placements and Delaware Statutory Trusts for commission. These outside activities and the seminar/education program are disclosed in the brochure and can create potential conflicts of interest that the firm says it manages through disclosure and internal policies.
Client services
Expertise
Fee options
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
Main office
1203 De La Vina St
Santa Barbara CA 93101
Advisors at this office
2
Most active in
California · Texas
Also doing business as
Filippini Investment Advisory · Montecito Wealth Management · Montecito Wealth Management LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Alexandro F
Series 63, Series 65
Santa Barbara, CA
Filippini Investment Advisory
Alexandro Filippini is a financial advisor at Filippini Investment Advisory with 18 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at firms including Rcx Capital Group, Silver Portal Capital, Montecito Wealth Management, and Filippini Wealth Management. Outside of his advisory work, he serves as Vice President of Fundraising for the Hope School PTA in Santa Barbara. Filippini Investment Advisory is a small firm serving individuals, trusts, foundations, estates, and business plans. The firm manages approximately $20.6 million in assets, focusing on a diversified, long-term investment approach with direct portfolio management and non-discretionary services.
Iaian F
Series 66, Series 63, Series 65
Santa Barbara, CA
Filippini Investment Advisory
Iaian Filippini is a financial advisor at Filippini Investment Advisory with 17 years of industry experience. He holds Series 66, Series 63, and Series 65 credentials and has worked at firms including Alexander Capital, Rcx Capital Group, Silver Portal Capital, and Montecito Wealth Management. Filippini also serves on the board of 911 At Ease International, a nonprofit providing mental health services to first responders. Filippini Investment Advisory is a small firm serving individuals, trusts, foundations, estates, and business plans. The firm focuses on fundamental analysis and diversified, long-term asset allocation, managing portfolios non-discretionarily without relying on third-party managers.
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