Richard Schuette has been Managing Member & Chief Compliance Officer of Avalan since February 2011, is a control person of the firm and directly owns 75% or more of it.
Avalan, LLC is a Santa Barbara, CA firm with $622M under management, 319 clients and 11 advisers across 3 offices, as of its March 2026 filing.
Richard Schuette’s longest registration is the current one, 15 years at Avalan since 2011. Before joining Avalan in 2011, Richard Schuette was registered through Vida Wealth Partners, Inc. and Girard Securities, Inc.
- Vida Wealth Partners, Inc.– · 7 yearsSanta Barbara, CA · Adviser representative · Firm CRD 140824
- Girard Securities, Inc.– · 9 yearsSanta Barbara, CA · Adviser representative · Firm CRD 18697
Investment adviser representative registrations
Richard Schuette is registered as an investment adviser representative in 2 states. The first approvals date from March 2011; the most recent is Washington, in April 2022.
- CaliforniaSince 17 March 2011
- WashingtonSince 8 April 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 31 December 1998 |
| Series 65 | Uniform Investment Adviser Law Examination | 22 September 1998 |
| Series 7 | General Securities Representative Examination | 26 August 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 June 1997 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 25 June 1997 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Richard Allen Schuette
- CRD
- 2907767
- Firm
- Avalan · CRD 156109
- Role
- Managing Member & Chief Compliance Officer
- Office
- 233 E CARILLO, SUITE B, Santa Barbara, CA 93101
- Registration
- Investment adviser registration
- In the industry since
- October 2005
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Schuette work?
Richard Schuette has been Managing Member & Chief Compliance Officer of Avalan, LLC since February 2011, and is a control person of the firm.
Is Richard Schuette a financial advisor?
Yes. Richard Schuette has a current investment-adviser registration in California and Washington, through Avalan since March 2011.
How many years of experience does Richard Schuette have?
Richard Schuette has 21 years in the financial industry, since October 2005, across 3 adviser firms.
What exams has Richard Schuette passed?
Richard Schuette has passed 5 licensing exams: the Series 63, Series 6, Series 7, Series 65 and Series 24. The earliest, the Series 63, was passed in June 1997. FINRA credited Richard Schuette with the SIE, which began in October 2018.
Where is Richard Schuette based?
Richard Schuette’s registered office is in Santa Barbara, CA.
Is Richard Schuette registered with FINRA?
No. Richard Schuette has no current broker registration.
How can I verify Richard Schuette’s record?
Search CRD 2907767 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Schuette’s full registration record.