# Johannsen & Associates, Inc.

> Johannsen & Associates, Inc. is a state-registered investment advisory firm in Santa Barbara, CA, registered since 1994, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated November 25, 2025.

- CRD: 137013
- Filed as: JOHANNSEN & ASSOCIATES, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Santa Barbara, CA
- Filing period: October 2026
- Form ADV filing dated: November 25, 2025
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/137013
- AdvisorCensus page: https://advisorcensus.com/firm/johannsen-and-associates-inc-santa-barbara-ca-137013

## Quick answers

**How is Johannsen & Associates, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Johannsen & Associates, Inc. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Johannsen & Associates, Inc. located?**
Johannsen & Associates, Inc.'s principal office is in Santa Barbara, CA, according to its Form ADV.

**Is Johannsen & Associates, Inc. registered with the SEC or a state?**
Johannsen & Associates, Inc. is a state-registered investment advisory firm, registered since 1994. Status as filed: APPROVED. CRD 137013.

**How much does Johannsen & Associates, Inc. manage?**
Johannsen & Associates, Inc. reports $33,039,000 in regulatory assets under management in its Form ADV filing dated November 25, 2025 (100% discretionary).

**What types of clients does Johannsen & Associates, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (24); high net worth individuals (13).

**Does Johannsen & Associates, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/137013

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $33,039,000
- Discretionary: $33,039,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 24 | $6,539,000 |
| High net worth individuals | 13 | $26,500,000 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 1994 (32 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Johannsen & Associates, Inc. (CRD 137013): Form ADV filing data as of October 2026.