SOUTH BAY FINANCIAL PARTNERS
SOUTH BAY FINANCIAL PARTNERS GROUP, INC. Legal Name
Adviser information for SOUTH BAY FINANCIAL PARTNERS last updated from Form ADV on February 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 155 | $111.6M |
| Total | 155 | $111.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 13 | $5.3M |
| HNW Individuals | 33 | $105.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $1.1M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 6 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshopsTAX PLANNING AND PREPPING |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-110198 |
|---|---|
| SEC ERA File Number | 801-110198 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 175015 |
| Legal Entity Identifier | None |
Principal Office
21515 HAWTHORNE BLVDSUITE 200
TORRANCE
CA
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 310-792-4189, Fax: 310-792-4189
Chief Compliance Officer
TARA UNVERZAGT
PRESIDENT
21515 HAWTHORNE BLVD
SUITE 200
TORRANCE
CA
United States
Tel:
3107924189
Fax:
3107924189
T***@****************************M
(Full email address available in API data)
Regulatory Contact
ALISON ROSA
COMPLIANCE OFFICER
21515 HAWTHORNE BLVD
SUITE 200
TORRANCE
CA
United States
Tel:
13107924189
Fax:
3107924189
A*****@**********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| UNVERZAGT, TARA, TUSSING | Individual | – | PRESIDENT/ CHIEF COMPLIANCE OFFICER/TREASURER | 12/2013 | > 75% |
| Unverzagt, Robert, Manuel | Individual | – | SECRETARY | 12/2014 | > 75% |