# Daniel Investment Associates, LLC

> Daniel Investment Associates, LLC is an SEC-registered investment advisory firm in Santa Barbara, CA, registered since 2013, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 18, 2026.

- CRD: 157284
- Filed as: DANIEL INVESTMENT ASSOCIATES, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Santa Barbara, CA
- Filing period: October 2026
- Form ADV filing dated: March 18, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/157284
- AdvisorCensus page: https://advisorcensus.com/firm/daniel-investment-associates-llc-santa-barbara-ca-157284

## Quick answers

**How is Daniel Investment Associates, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Daniel Investment Associates, LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is Daniel Investment Associates, LLC located?**
Daniel Investment Associates, LLC's principal office is in Santa Barbara, CA, according to its Form ADV.

**Is Daniel Investment Associates, LLC registered with the SEC or a state?**
Daniel Investment Associates, LLC is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 157284.

**How much does Daniel Investment Associates, LLC manage?**
Daniel Investment Associates, LLC reports $225,253,116 in regulatory assets under management in its Form ADV filing dated March 18, 2026 (0% discretionary).

**How have Daniel Investment Associates, LLC's assets and staff changed since 2021?**
In the Form ADV data for Daniel Investment Associates, LLC: Regulatory assets under management: $155,931,053 in the October 2021 data and $225,253,116 in the October 2026 data, up 44%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Daniel Investment Associates, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (28); charitable organizations (5).

**Which custodians does Daniel Investment Associates, LLC use?**
Daniel Investment Associates, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Daniel Investment Associates, LLC report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/157284

**Does Daniel Investment Associates, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 18, 2026 says: "The Adviser requires a minimum of $10,000,000 to establish a new advisory account; however, the minimum may be waived at the sole discretion of the Adviser."

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 18, 2026)

- Account minimum: $10,000,000 (the brochure says it may be waived or negotiated)

> The Adviser requires a minimum of $10,000,000 to establish a new advisory account; however, the minimum may be waived at the sole discretion of the Adviser.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $225,253,116
- Discretionary: $203,617
- Non-discretionary: $225,049,499

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 28 | $185,412,221 |
| Charitable organizations | 5 | $39,840,895 |

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

### Firm details
- Registered since: 2013 (13 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/157284

### Websites listed on Form ADV (Item 1.I)
- [diasocal.com](https://diasocal.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $155,931,053 | 1 | February 18, 2021 |
| October 2022 | $178,046,146 | 2 | March 10, 2022 |
| October 2023 | $185,413,092 | 1 | March 23, 2023 |
| October 2024 | $191,407,354 | 1 | March 29, 2024 |
| October 2025 | $220,524,940 | 1 | March 28, 2025 |
| October 2026 | $225,253,116 | 1 | March 18, 2026 |

Regulatory assets under management: $155,931,053 in the October 2021 data and $225,253,116 in the October 2026 data, up 44%.
Total employees: 1 in October 2021 and 1 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Daniel Investment Associates, LLC (CRD 157284): Form ADV filing data as of October 2026.