SEC-registered wealth management firm Broker-dealer affiliated
Albert Investments, LLC
As of its Form ADV filed February 3, 2026, Albert Investments, LLC, an SEC-registered, broker-dealer affiliated wealth management firm in Santa Barbara, California, reported $22.7 million in regulatory assets under management across 209,650 accounts, ranking #1910 among all wealth firms in California by assets.
Registration
- Main office
- Santa Barbara, CA
- Registration
- SEC-registered, Approved
- CRD number
- 298006
- SEC file number
- 801-114361
- Registered since
- December 3, 2018
- Latest Form ADV filing
- February 3, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $22.7 million
- Discretionary
- $22.7 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 209,650 (209,650 discretionary)
- Clients
- 209,650, approximate as reported
- Employees
- 3
- Advisory staff
- 3 performing investment advisory functions
- Average account
- $108
- Asset growth, 1 year
- 7.9% (from $21.0 million a year earlier)
- Asset growth, 3-year annual rate
- 8.7% (from $17.7 million three years earlier)
- Asset growth, 5-year annual rate
- 12.2% (from $12.7 million five years earlier)
- Client growth, 1 year
- -9.0% (from 230,377)
Broker-dealer affiliated. The firm is affiliated with a broker-dealer (Item 7.A(1)), at least half of its advisory staff are registered representatives of a broker-dealer (Item 5.B(2) against 5.B(1)), and its advisers manage less than $100 million each on average (5.F(2)(c) over 5.B(1)), the pattern of a broker-dealer's advisory arm rather than an adviser that owns a small broker-dealer. It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2019 | $0 |
| October 1, 2020 | $2.3 million |
| October 4, 2021 | $12.7 million |
| October 3, 2022 | $14.5 million |
| October 5, 2023 | $17.7 million |
| October 1, 2024 | $16.7 million |
| September 2, 2025 | $21.0 million |
| October 2, 2026 | $22.7 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 209,650 clients | $22.7 million | |
| High net worth individuals fewer than 5 clients | $0 | |
| Banking or thrift institutions fewer than 5 clients | $0 | |
| Pension and profit sharing plans fewer than 5 clients | $0 | |
| Charitable organizations fewer than 5 clients | $0 | |
| State or municipal government entities fewer than 5 clients | $0 | |
| Other investment advisers fewer than 5 clients | $0 | |
| Insurance companies fewer than 5 clients | $0 | |
| Sovereign wealth funds and foreign official institutions fewer than 5 clients | $0 | |
| Corporations or other businesses fewer than 5 clients | $0 |
How the firm is paid
- Fixed fees
Advisory services
- Portfolio management for individuals or small businesses
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Broker-dealer
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 0
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 0
IAR registrations by jurisdiction are not available for this firm. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in California
| Firm | City | RAUM |
|---|---|---|
| Susan Carlisle | Agoura Hills | $22.7 million |
| Athos Capital Advisors | Newport Beach | $22.7 million |
| Martin W. Rosenzveig & Co., LLC | Beverly Hills | $22.7 million |
| Elliott Financial, LLC | Pacific Grove | $22.6 million |
| Balanced Financial Advisors | Sausalito | $22.6 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Albert Investments, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: albert.com
- Wealth management firms in California
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.