PACIFIC OAK CAPITAL ADVISORS, LLC
Adviser information for PACIFIC OAK CAPITAL ADVISORS, LLC last updated from Form ADV on March 30th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 13 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 2 | $3.5B |
| Total | 2 | $3.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $3.5B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesACQUISITION AND DISPOSITION FEES |
Identifiers
| SEC RIA File Number | 801-117321 |
|---|---|
| SEC ERA File Number | 801-117321 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 299177 |
| Legal Entity Identifier | None |
Principal Office
11766 WILSHIRE BLVD.SUITE 1670
LOS ANGELES
CA
United States
Monday - Friday, 8:30 A.M. TO 5:30 P.M.
Tel: (424) 208-8100, Fax: None
Chief Compliance Officer
MATTHEW MAI
3200 PARK CENTER DRIVE
SUITE 800
COSTA MESA
CA
United States
Tel:
714-312-9556
M***@**********M
(Full email address available in API data)
Regulatory Contact
PETER MCMILLAN III
PARTNER
11766 WILSHIRE BLVD.
SUITE 1670
LOS ANGELES
CA
United States
Tel:
310-432-2101
P********@**********M
(Full email address available in API data)
Industry Affiliates
| GKP HOLDINGS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| KEPPEL-PACIFIC OAK US REIT MANAGEMENT PTE. LTD | Sponsor, GP, manager of pooled investment vehicles |
| KORE PACIFIC ADVISORS PTE. LTD. | Sponsor, GP, manager of pooled investment vehicles |
| PACIFIC OAK BATTERY POINT HOLDINGS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIFIC OAK CAPITAL MARKETS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PACIFIC OAK DST ASSET MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIFIC OAK MERIDIAN DST JV MANAGER, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIFIC OAK OPPORTUNITY ZONE FUND I ADVISOR, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIFIC OAK OPPORTUNITY ZONE FUND I MANAGER, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIFIC OAK OPPORTUNITY ZONE FUND II ADVISOR, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIFIC OAK OPPORTUNITY ZONE FUND II MANAGER, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIFIC OAK RESIDENTIAL ADVISORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIFIC OAK THE VUE HOLDINGS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| WILLOWBROOK CAPITAL GROUP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HALL, KEITH, DAVID | Individual | PACIFIC OAK HOLDING GROUP, LLC | MEMBER, MANAGER | 09/2018 | 50-75% |
| MCMILLAN, PETER | Individual | – | PRINCIPAL | 09/2018 | < 5% |
| PACIFIC OAK HOLDING GROUP, LLC | Domestic Entity | – | MEMBER | 09/2018 | > 75% |
| MCMILLAN, PETER | Individual | PACIFIC OAK HOLDING GROUP, LLC | MEMBER, MANAGER | 09/2018 | 50-75% |
| HALL, KEITH, DAVID | Individual | – | PRINCIPAL | 09/2018 | < 5% |
| Bender, Michael | Individual | – | CHIEF FINANCIAL OFFICER | 10/2019 | < 5% |
| Mai, Matthew | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2021 | < 5% |