SORRENTO PACIFIC FINANCIAL, LLC
Adviser information for SORRENTO PACIFIC FINANCIAL, LLC last updated from Form ADV on March 28th, 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 | California, United States |
Employees
| Total Number of Employees | 256 |
|---|---|
| Investment Advisory/Research | 33 |
| Registered Broker-Dealer Representatives | 129 |
| Registered State Investment Advisers | 33 |
| Licensed Agents of an Insurance Company | 45 |
| No. of Firms/People that Solicit Clients | 22 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 645 | $128.0M |
| Non-Discretionary | 231 | $64.5M |
| Total | 876 | $192.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 686 | $145.0M |
| HNW Individuals | 25 | $42.6M |
| 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 | 2 | $165,789 |
| 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 | 7 | $4.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 239 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 138.2M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CONTOUR WRAP FEE PROGRAM | SORRENTO PACIFIC FINANCIAL, LLC |
Principal Office
10150 MEANLEY DRIVE1ST FLOOR
SAN DIEGO
CA
United States
Monday - Friday, 8:00AM - 4:30PM PST
Tel: 800-686-4724, Fax: 858-530-4444
Chief Compliance Officer
LAURA WHITE
ADVISORY CHIEF COMPLIANCE OFFICER
10150 MEANLEY DRIVE
1ST FLOOR
SAN DIEGO
CA
United States
Tel:
315-609-7891
Fax:
315-234-0404
L**********@**************M
(Full email address available in API data)
Regulatory Contact
ELIZABETH LEGACY
CHIEF COMPLIANCE OFFICER
10150 MEANLEY DR
1ST FLOOR
SAN DIEGO
NY
United States
Tel:
858-857-1398
L*********@**************M
(Full email address available in API data)
Industry Affiliates
| CADARET GRANT & CO INC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| CFS INSURANCE AND TECHNOLOGY SERVICES, LLC | Insurance company or agency |
| CUSO FINANCIAL SERVICES, L.P. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| GROVE POINT ADVISORS, LLC | Other investment adviser, including financial planners |
| GROVE POINT INVESTMENTS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| NEXT FINANCIAL GROUP, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| NEXT FINANCIAL INSURANCE SERVICES COMPANY | Insurance company or agency |
| SCF INVESTMENT ADVISORS, INC. | Other investment adviser, including financial planners |
| SCF SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| WESTERN INTERNATIONAL SECURITIES | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AWS 3, INC. | Domestic Entity | – | MEMBER | 11/2017 | > 75% |
| ATRIA WEALTH SOLUTIONS HOLDINGS, LLC | Domestic Entity | ATRIA WEALTH SOLUTIONS, INC. | SHAREHOLDER | 04/2018 | > 75% |
| LEE EQUITY PARTNERS FUND II(A), L.P. | Domestic Entity | LEP ATRIA HOLDINGS, LLC | MEMBER | 07/2017 | 50-75% |
| LEP ATRIA HOLDINGS, LLC | Domestic Entity | ATRIA WEALTH SOLUTIONS HOLDINGS, LLC | MEMBER; SERIES A UNITS | 08/2017 | 50-75% |
| ATRIA WEALTH SOLUTIONS, INC | Domestic Entity | AWS 3, INC | SHAREHOLDER | 10/2018 | > 75% |
| HORWITH, THEODORE ROBERT | Individual | – | CHIEF FINANCIAL OFFICER, FINOP | 05/2021 | < 5% |
| LEE EQUITY PARTNERS FUND II, L.P. | Domestic Entity | LEP ATRIA HOLDINGS, LLC | MEMBER | 07/2017 | 25-50% |
| LEE EQUITY PARTNERS II GP, LLC | Domestic Entity | LEE EQUITY PARTNERS FUND II, L.P. | GENERAL PARTNER | 09/2015 | |
| DOVER STREET VIII L.P. | Domestic Entity | LEE EQUITY PARTNERS FUND II, L.P. | LIMITED PARTNER | 03/2016 | 25-50% |
| LEE EQUITY PARTNERS II GP, LLC | Domestic Entity | LEE EQUITY PARTNERS FUND II(A), L.P. | GENERAL PARTNER | 09/2015 | |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V. | Foreign Entity | LEE EQUITY PARTNERS FUND II(A), L.P. | LIMITED PARTNER | 03/2016 | 25-50% |
| KETTERER, DOUGLAS JOHN | Individual | – | MANAGER | 11/2017 | < 5% |
| BEARD, KEVIN LAWRENCE | Individual | – | MANAGER | 11/2017 | < 5% |
| MUMMAU, KEVIN SCOTT | Individual | – | PRESIDENT | 03/2023 | < 5% |
| LEGACY, ELIZABETH ANNE | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |
| WHITE, LAURA NICOLE | Individual | – | ADVISORY CHIEF COMPLIANCE OFFICER | 11/2023 | < 5% |