{
  "crd_number": 29037,
  "slug": "syndicated-capital-inc-brea-ca-29037",
  "primary_business_name": "SYNDICATED CAPITAL, INC.",
  "legal_name": "SYNDICATED CAPITAL, INC.",
  "dbas": [],
  "city": "Brea",
  "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": "2024-02-05",
  "years_registered": 2,
  "period": "2026-10-01",
  "filing_date": "2026-09-30",
  "carried_forward": false,
  "raum_total": 141993039.0,
  "raum_discretionary": 136907945.0,
  "raum_non_discretionary": 5085094.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 12,
  "advisory_employees": 9,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 79541033.0,
      "count": 438
    },
    "high_net_worth_individuals": {
      "raum": 62452006.0,
      "count": 27
    }
  },
  "compensation_types": [
    "fixed",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 5,
  "states_registered": [],
  "websites": [
    "https://syndicatedcapital.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/29037",
  "disclosure_items": [
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "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?"
    },
    {
      "item": "11.D(2)",
      "question": "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?"
    },
    {
      "item": "11.D(4)",
      "question": "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?"
    },
    {
      "item": "11.E(2)",
      "question": "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?"
    }
  ],
  "city_as_filed": "BREA",
  "url": "https://advisorcensus.com/firm/syndicated-capital-inc-brea-ca-29037",
  "display_name": "Syndicated Capital, Inc.",
  "summary": "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.",
  "citation": "AdvisorCensus. Syndicated Capital, Inc. (CRD 29037): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Syndicated Capital, Inc. compensated?",
      "a": "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."
    },
    {
      "q": "What does Syndicated Capital, Inc.'s brochure say about its fees?",
      "a": "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."
    },
    {
      "q": "Where is Syndicated Capital, Inc. located?",
      "a": "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)."
    },
    {
      "q": "Is Syndicated Capital, Inc. registered with the SEC or a state?",
      "a": "Syndicated Capital, Inc. is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 29037."
    },
    {
      "q": "How much does Syndicated Capital, Inc. manage?",
      "a": "Syndicated Capital, Inc. reports $141,993,039 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (96% discretionary)."
    },
    {
      "q": "How have Syndicated Capital, Inc.'s assets and staff changed since 2024?",
      "a": "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."
    },
    {
      "q": "What types of clients does Syndicated Capital, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (438); high net worth individuals (27)."
    },
    {
      "q": "Does Syndicated Capital, Inc. report any disciplinary disclosures?",
      "a": "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"
    },
    {
      "q": "Does Syndicated Capital, Inc. state an account minimum?",
      "a": "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.\""
    },
    {
      "q": "What changed in Syndicated Capital, Inc.'s recent Form ADV filings?",
      "a": "In the October 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 115319317.0,
      "total_employees": 12,
      "filing_date": "2024-03-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 122987781.0,
      "total_employees": 12,
      "filing_date": "2025-03-29"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 141993039.0,
      "total_employees": 12,
      "filing_date": "2026-09-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $122,987,781 to $141,993,039 (+15%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "tiers": [],
    "flat_rate": "2% of assets a year",
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 2% of assets a year"
        ],
        "quotes": [
          "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"
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "Syndicated Capital, Inc. does not impose minimum balance when opening accounts or maintenance requirement."
        ]
      }
    ],
    "quotes": [
      "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",
      "Syndicated Capital, Inc. does not impose minimum balance when opening accounts or maintenance requirement."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/syndicated-capital-inc-brea-ca-29037.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 438,
      "fewer_than_5": false,
      "raum": 79541033.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 27,
      "fewer_than_5": false,
      "raum": 62452006.0
    }
  ],
  "disclosure_line": "Reports 5 disclosure items 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/29037",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}