AdvisorCensus / Financial advisors / California / Los Angeles / Syndicated Capital, Inc.
Syndicated Capital, Inc. is an SEC-registered investment advisory firm in Brea, CA, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 30, 2026.
Quick answers
From the filingHow is Syndicated Capital, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Syndicated Capital, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); other.
What does Syndicated Capital, Inc.'s brochure say about its fees?
Its Form ADV Part 2A brochure dated March 31, 2026 states: Asset-based fee: 2% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Syndicated Capital, Inc. located?
Syndicated Capital, Inc.'s principal office is in Brea, CA, according to its Form ADV; the October 2026 filing also lists 8 other offices (Schedule D, Section 1.F).
Is Syndicated Capital, Inc. registered with the SEC or a state?
Syndicated Capital, Inc. is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 29037.
How much does Syndicated Capital, Inc. manage?
Syndicated Capital, Inc. reports $141,993,039 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (96% discretionary).
How have Syndicated Capital, Inc.'s assets and staff changed since 2024?
In the Form ADV data for Syndicated Capital, Inc.: Regulatory assets under management: $115,319,317 in the October 2024 data and $141,993,039 in the October 2026 data, up 23%. Total employees: 12 in October 2024 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Syndicated Capital, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (438); high net worth individuals (27).
Does Syndicated Capital, Inc. report any disciplinary disclosures?
Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.E(2) (self-regulatory organization's finding of a rule violation). 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/29037
Does Syndicated Capital, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated March 31, 2026 says: "Syndicated Capital, Inc. does not impose minimum balance when opening accounts or maintenance requirement."
What changed in Syndicated Capital, Inc.'s recent Form ADV filings?
In the October 2026 filing data: Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Other
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 2% of assets a year
The brochure's wording
Our standard fee is 2%. Clients can negotiate fees with the advisers.
Management fees are charged in advance, based on the average of previous quarter's three-month-end balances multiplied by the annual fee rate
Account minimum: None
The brochure's wording
Syndicated Capital, Inc. does not impose minimum balance when opening accounts or maintenance requirement.
As stated in the firm's Form ADV Part 2A brochure dated March 31, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$141,993,039 as of October 2026, filing dated September 30, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2024 (2 years)
- Employees
- Total: 12. Performing investment advisory functions: 9.
- Wrap fee program participation
- No.
- Other offices (Schedule D, Section 1.F)
-
8 other offices, as of the October 2026 filing
- States registered or notice-filed
- Not reported.
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 115 Reports 5 disclosure items on Form ADV Item 11. View on IAPD.
Questions answered yes on this filing
Regulatory matters Items 11.C to 11.G
- 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?
- 11.D(2) Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4) In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.E(2) Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
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. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $141,993,039 | 12 | September 30, 2026 |
| October 2025 | $122,987,781 | 12 | March 29, 2025 |
| October 2024 | $115,319,317 | 12 | March 29, 2024 |
Regulatory assets under management: $115,319,317 in the October 2024 data and $141,993,039 in the October 2026 data, up 23%.
Total employees: 12 in October 2024 and 12 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- October 2026
- Updated its list of owners and control persons (Schedule A).
- April 2026
- Regulatory assets under management went from $122,987,781 to $141,993,039 (+15%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Syndicated Capital, Inc. (CRD 29037): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/syndicated-capital-inc-brea-ca-29037