{ "crd_number": 166722, "slug": "resource-capital-investment-corporation-carlsbad-ca-166722", "primary_business_name": "RESOURCE CAPITAL INVESTMENT CORPORATION", "legal_name": "RESOURCE CAPITAL INVESTMENT CORPORATION", "dbas": [], "city": "Carlsbad", "state": "CA", "country": "United States", "cbsa_code": "41740", "metro": { "cbsa_code": "41740", "common_name": "San Diego", "msa_name": "San Diego-Chula Vista-Carlsbad, CA", "path": "/advisors/ca/san-diego" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2013-06-04", "years_registered": 13, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 3706679117.0, "raum_discretionary": 2937439414.0, "raum_non_discretionary": 769239703.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 4, "advisory_employees": 0, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 3706679117.0, "count": 35 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 1, "states_registered": [ "CA", "CT" ], "websites": [ "https://resourcecapital.net" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/166722", "disclosure_items": [ { "item": "11.H(2)", "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?" } ], "city_as_filed": "CARLSBAD", "url": "https://advisorcensus.com/firm/resource-capital-investment-corporation-carlsbad-ca-166722", "display_name": "Resource Capital Investment Corporation", "summary": "Resource Capital Investment Corporation is an SEC-registered investment advisory firm in Carlsbad, CA, registered since 2013, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Resource Capital Investment Corporation (CRD 166722): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is Resource Capital Investment Corporation compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Resource Capital Investment Corporation reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Resource Capital Investment Corporation located?", "a": "Resource Capital Investment Corporation's principal office is in Carlsbad, CA, according to its Form ADV." }, { "q": "Is Resource Capital Investment Corporation registered with the SEC or a state?", "a": "Resource Capital Investment Corporation is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 166722." }, { "q": "How much does Resource Capital Investment Corporation manage?", "a": "Resource Capital Investment Corporation reports $3,706,679,117 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (79% discretionary)." }, { "q": "How have Resource Capital Investment Corporation's assets and staff changed since 2021?", "a": "In the Form ADV data for Resource Capital Investment Corporation: Regulatory assets under management: $1,995,355,428 in the October 2021 data and $3,706,679,117 in the October 2026 data, up 86%. Total employees: 8 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Resource Capital Investment Corporation serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (35)." }, { "q": "Does Resource Capital Investment Corporation report any disciplinary disclosures?", "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.H(2) (pending civil proceeding). 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/166722" }, { "q": "What changed in Resource Capital Investment Corporation's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 5 to 0." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1995355428.0, "total_employees": 8, "filing_date": "2021-09-15" }, { "period": "2022-10-01", "regulatory_assets_under_management": 2953045846.0, "total_employees": 9, "filing_date": "2022-03-25" }, { "period": "2023-10-01", "regulatory_assets_under_management": 3540953778.0, "total_employees": 9, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 3552398760.0, "total_employees": 9, "filing_date": "2024-03-26" }, { "period": "2025-10-01", "regulatory_assets_under_management": 3584334392.0, "total_employees": 9, "filing_date": "2025-02-25" }, { "period": "2026-10-01", "regulatory_assets_under_management": 3706679117.0, "total_employees": 4, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 5 to 0." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/resource-capital-investment-corporation-carlsbad-ca-166722.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 35, "fewer_than_5": false, "raum": 3706679117.0 } ], "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/166722", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }