SYNDICATED CAPITAL, INC.
Adviser information for SYNDICATED CAPITAL, INC. last updated from Form ADV on March 29th, 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 | 12 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 415 | $109.4M |
| Non-Discretionary | 21 | $5.9M |
| Total | 436 | $115.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 411 | $55.0M |
| HNW Individuals | 25 | $60.3M |
| 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 | 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 | 1 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees12B1; NTF MUTAL FUND SERVICE FEES |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-129421 |
|---|---|
| SEC ERA File Number | 801-129421 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 29037 |
| Legal Entity Identifier | None |
Principal Office
21671 GATEWAY CENTER DRIVESUITE 111
DIAMOND BAR
CA
United States
Monday - Friday, 6:30 AM - 2:00 PM
Tel: 310-751-7098, Fax: 310-507-7875
Websites
Chief Compliance Officer
FAITH LEE
PRESIDENT
P. O. BOX 274
BREA
CA
United States
Tel:
310 751 7098
Fax:
310 507 7875
C*********@********************M
(Full email address available in API data)
Industry Affiliates
| PACIFIC INCOME ADVISERS INC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BAINES AND MCADAMS LIVING TRUST | Domestic Entity | – | OWNER | 01/2011 | 25-50% |
| MCADAMS, JOSEPH LLOYD JR | Individual | – | SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST | 02/1986 | < 5% |
| LEE, FAITH | Individual | – | PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | 03/2005 | < 5% |
| THORNTON, STEVEN LEE | Individual | – | FINANCIAL AND OPERATIONS PRINCIPAL | 01/2004 | < 5% |
| MCADAMS, JOSEPH LLOYD JR | Individual | BAINES & MCADAMS LIVING TRUST | TRUSTEE | 01/2011 | 50-75% |
| BAINES, HEATHER UNA | Individual | BAINES AND MCADAMS LIVING TRUST | TRUSTEE | 01/2011 | 50-75% |
| BAINES, HEATHER UNA | Individual | – | TRUSTEE OF BAINES & MCADAMS LIVING TRUST | 01/2011 | < 5% |
| SC ADD HOLDINGS, LLC | Domestic Entity | – | OWNER, MANAGED BY FAITH LEE | 09/2020 | 50-75% |
| LEE, FAITH | Individual | SC ADD HOLDINGS LLC | MANAGER | 09/2020 | 50-75% |