# 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.

- CRD: 29037
- Filed as: SYNDICATED CAPITAL, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Brea, CA
- Filing period: October 2026
- Form ADV filing dated: September 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/29037
- AdvisorCensus page: https://advisorcensus.com/firm/syndicated-capital-inc-brea-ca-29037

## Quick answers

**How 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.

**How much does Syndicated Capital, Inc. charge?**
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

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Other

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- Asset-based fee: 2% of assets a year

> 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

> Syndicated Capital, Inc. does not impose minimum balance when opening accounts or maintenance requirement.

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

### Regulatory assets under management (Item 5.F)
- Total: $141,993,039
- Discretionary: $136,907,945
- Non-discretionary: $5,085,094

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 438 | $79,541,033 |
| High net worth individuals | 27 | $62,452,006 |

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

### Firm details
- Registered since: 2024 (2 years)
- Employees: 12 total, 9 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports 5 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 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. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/29037

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Bend, OR
- Costa Mesa, CA
- Diamond Bar, CA
- Doylestown, PA
- Flushing, NY
- Honolulu, CA
- Monrovia, CA
- San Diego, CA

### Websites listed on Form ADV (Item 1.I)
- syndicatedcapital.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2024 | $115,319,317 | 12 | March 29, 2024 |
| October 2025 | $122,987,781 | 12 | March 29, 2025 |
| October 2026 | $141,993,039 | 12 | September 30, 2026 |

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.

## 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%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Syndicated Capital, Inc. (CRD 29037): Form ADV filing data as of October 2026.