{ "crd_number": 144069, "slug": "signature-resources-capital-management-llc-newport-beach-ca-144069", "primary_business_name": "SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC", "legal_name": "SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC", "dbas": [ "STATERA ASSET MANAGEMENT" ], "city": "Newport Beach", "state": "CA", "country": "United States", "cbsa_code": "31080", "metro": { "cbsa_code": "31080", "common_name": "Los Angeles", "msa_name": "Los Angeles-Long Beach-Anaheim, CA", "path": "/advisors/ca/los-angeles" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2007-06-08", "years_registered": 19, "period": "2026-10-01", "filing_date": "2026-03-27", "carried_forward": false, "raum_total": 303917192.0, "raum_discretionary": 303917192.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 15, "advisory_employees": 15, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 0.0, "count": 0 }, "charitable": { "raum": 0.0, "count": 0 }, "individuals": { "raum": 82137635.0, "count": 276 }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 0.0, "count": 0 }, "insurance_companies": { "raum": 0.0, "count": 0 }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 14548628.0, "count": 12 }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 204573721.0, "count": 90 }, "pooled_investment_vehicles": { "raum": 0.0, "count": 0 }, "corporations_other_businesses": { "raum": 2657208.0, "count": null, "fewer_than_5": true }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": 0 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "AZ", "CA", "CO", "FL", "ID", "NE", "NJ", "NM", "NV", "NY", "OR", "TX", "VA" ], "websites": [ "https://facebook.com/profile.php?id=61562807861854", "https://fmlycapital.com", "https://linkedin.com/company/signature-resources-capital-management-llc", "https://linkedin.com/company/statera-asset-management", "https://mikebornstein.com", "https://srcmadvisors.com", "https://statera-am.com", "https://x.com/SIGRESOURCES1" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/144069", "city_as_filed": "NEWPORT BEACH", "url": "https://advisorcensus.com/firm/signature-resources-capital-management-llc-newport-beach-ca-144069", "display_name": "Signature Resources Capital Management, LLC", "summary": "Signature Resources Capital Management, LLC is an SEC-registered investment advisory firm in Newport Beach, CA, registered since 2007, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 27, 2026.", "citation": "AdvisorCensus. Signature Resources Capital Management, LLC (CRD 144069): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Signature Resources Capital Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Signature Resources Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "How much does Signature Resources Capital Management, LLC charge?", "a": "Its Form ADV Part 2A brochure dated March 27, 2026 states: Hourly rate: $350 an hour (financial planning and consulting services); Flat fee: $500 to $7,500 (financial planning and consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is Signature Resources Capital Management, LLC located?", "a": "Signature Resources Capital Management, LLC's principal office is in Newport Beach, CA, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F)." }, { "q": "Is Signature Resources Capital Management, LLC registered with the SEC or a state?", "a": "Signature Resources Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 144069." }, { "q": "How much does Signature Resources Capital Management, LLC manage?", "a": "Signature Resources Capital Management, LLC reports $303,917,192 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary)." }, { "q": "How have Signature Resources Capital Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Signature Resources Capital Management, LLC: Regulatory assets under management: $237,173,733 in the October 2021 data and $303,917,192 in the October 2026 data, up 28%. Total employees: 19 in October 2021 and 15 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Signature Resources Capital Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (276); high net worth individuals (90); pension and profit sharing plans (but not the plan participants or government pension plans) (12)." }, { "q": "Which custodians does Signature Resources Capital Management, LLC use?", "a": "Signature Resources Capital Management, 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." }, { "q": "Does Signature Resources Capital Management, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/144069" }, { "q": "Does Signature Resources Capital Management, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 27, 2026 says: \"Generally, SRCM requires a minimum of $250,000 to establish a new investment management account (with accounts aggregated at the household level).\" \"SRCM may reduce or waive the new account minimum requirements at our discretion.\"" }, { "q": "What changed in Signature Resources Capital Management, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 14 to 15. Regulatory assets under management went from $227,563,327 to $303,917,192 (+34%). Added an office in San Diego, CA. No longer lists an office in La Jolla, CA. Registered or notice-filed in FL, ID, NE, NJ, NV, OR." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 237173733.0, "total_employees": 19, "filing_date": "2021-07-08" }, { "period": "2022-10-01", "regulatory_assets_under_management": 230427780.0, "total_employees": 18, "filing_date": "2022-03-28" }, { "period": "2023-10-01", "regulatory_assets_under_management": 207518843.0, "total_employees": 15, "filing_date": "2023-03-23" }, { "period": "2024-10-01", "regulatory_assets_under_management": 218800703.0, "total_employees": 12, "filing_date": "2024-03-04" }, { "period": "2025-10-01", "regulatory_assets_under_management": 227563327.0, "total_employees": 11, "filing_date": "2025-06-20" }, { "period": "2026-10-01", "regulatory_assets_under_management": 303917192.0, "total_employees": 15, "filing_date": "2026-03-27" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 14 to 15.", "Regulatory assets under management went from $227,563,327 to $303,917,192 (+34%).", "Added an office in San Diego, CA.", "No longer lists an office in La Jolla, CA.", "Registered or notice-filed in FL, ID, NE, NJ, NV, OR." ] }, { "period": "2026-03-01", "period_label": "March 2026", "notes": [ "Employees performing advisory functions went from 10 to 14.", "Added an office in La Jolla, CA.", "Added an office in San Diego, CA." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 27, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$250,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": null, "planning_fees": [ "Hourly rate: $350 an hour (financial planning and consulting services)", "Flat fee: $500 to $7,500 (financial planning and consulting services)" ], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: $250,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "Generally, SRCM requires a minimum of $250,000 to establish a new investment management account (with accounts aggregated at the household level).", "SRCM may reduce or waive the new account minimum requirements at our discretion." ] }, { "label": "Planning fee", "statements": [ "Hourly rate: $350 an hour (financial planning and consulting services)" ], "quotes": [ "When not considered part of the investment management fee, SRCM may charge clients an hourly fee generally at the rate of $350 per hour or a fixed fee that generally ranges from $500 to $7,500 for financial planning and consulting services." ] }, { "label": "Planning fee", "statements": [ "Flat fee: $500 to $7,500 (financial planning and consulting services)" ], "quotes": [ "When not considered part of the investment management fee, SRCM may charge clients an hourly fee generally at the rate of $350 per hour or a fixed fee that generally ranges from $500 to $7,500 for financial planning and consulting services." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 250000.0, "minimum_annual_fee": null, "planning": [ { "kind": "hourly", "amount": 350.0, "min": null, "max": null, "period": "hour", "service": "financial planning and consulting services" }, { "kind": "flat", "amount": null, "min": 500.0, "max": 7500.0, "period": "one_time", "service": "financial planning and consulting services" } ] }, "quotes": [ "Generally, SRCM requires a minimum of $250,000 to establish a new investment management account (with accounts aggregated at the household level).", "SRCM may reduce or waive the new account minimum requirements at our discretion.", "When not considered part of the investment management fee, SRCM may charge clients an hourly fee generally at the rate of $350 per hour or a fixed fee that generally ranges from $500 to $7,500 for financial planning and consulting services.", "When not considered part of the investment management fee, SRCM may charge clients an hourly fee generally at the rate of $350 per hour or a fixed fee that generally ranges from $500 to $7,500 for financial planning and consulting services." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false } ], "custodians_note": "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.", "markdown_url": "https://advisorcensus.com/firm/signature-resources-capital-management-llc-newport-beach-ca-144069.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 276, "fewer_than_5": false, "raum": 82137635.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 90, "fewer_than_5": false, "raum": 204573721.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 12, "fewer_than_5": false, "raum": 14548628.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": null, "fewer_than_5": true, "raum": 2657208.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "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/144069", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }