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CRD 312837
LOS ANGELES, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| GLENN GARRY GEIST | n/a | LOS ANGELES, CA | Chicago, IL | 5 | 32 | 2 | no |
| J BRADFORD BARNES | n/a | Los Angeles, CA | LOS ANGELES, CA | 5 | 32 | 2 | no |
| RALPH EMERSON HECKERT | n/a | LOS ANGELES, CA | 5 | 42 | 2 | no |
| JENNIFER BAKER COOK | n/a | LOS ANGELES, CA | 5 | 42 | 2 | no |
| MICHAEL EDMOND SCHMID | Certified Financial Planner|Chartered Financial Analyst | LOS ANGELES, CA | 5 | 21 | 2 | no |
| SANDRA SHEAROUSE MORELLI | n/a | LOS ANGELES, CA | Atlanta, GA | 5 | 35 | 3 | no |
| DAVID JOSEPH FERRY | n/a | New York, NY | LOS ANGELES, CA | 5 | 38 | 2 | no |
| MICHELLE MISSANT JACKSON | Certified Financial Planner | Atlanta, GA | LOS ANGELES, CA | 5 | 33 | 3 | no |
| ALAN M SWERDLOFF | n/a | New York, NY | LOS ANGELES, CA | 5 | 34 | 3 | no |
| SAVITRI PADMAVITI PAI | n/a | LOS ANGELES, CA | Chicago, IL | 5 | 20 | 1 | no |
| ROBERT WILLIAM KELLY | Chartered Financial Analyst | LOS ANGELES, CA | 5 | 33 | 3 | no |
| MARK WILLIAM FLOWER | n/a | LOS ANGELES, CA | San Francisco, CA | 5 | 32 | 4 | no |
| WILLIAM MARK CAREY | n/a | Atlanta, GA | LOS ANGELES, CA | 5 | 31 | 3 | no |
| MASSIMIGLIANO SANTO SASSO | n/a | San Francisco, CA | LOS ANGELES, CA | 5 | 29 | 2 | no |
| NORMAN ROBERT SANYOUR | n/a | New York, NY | 5 | 29 | 2 | no |
| JENNIFER GEORGE BIRDSEY | Certified Financial Planner | San Francisco, CA | LOS ANGELES, CA | 5 | 25 | 2 | no |
| ANIEKAN OKON ARCHIBONG | n/a | LOS ANGELES, CA | 5 | 11 | 1 | no |
| LYNNE MARIE KNOX | n/a | LOS ANGELES, CA | 5 | 25 | 3 | no |
| JUSTIN BRENNAN | n/a | San Francisco, CA | LOS ANGELES, CA | 5 | 16 | 2 | no |
| DANIEL NEIL ROMANOW | Certified Financial Planner | New York, NY | LOS ANGELES, CA | 5 | 22 | 3 | no |
| ROBERT BARRON LEWIS | n/a | Boca Raton, FL | LOS ANGELES, CA | 5 | 22 | 3 | no |
| ZORNITSA VENTSISLAVOVA SANTIAGO | n/a | LOS ANGELES, CA | 5 | 20 | 3 | no |
| SUNG PYO LEE | n/a | LOS ANGELES, CA | San Francisco, CA | 5 | 18 | 3 | no |
| ERIC MARTIN HEER | n/a | LOS ANGELES, CA | 5 | 21 | 3 | no |
| DEAN WILLIAM CATALANO | n/a | Los Angeles, CA | LOS ANGELES, CA | 5 | 21 | 3 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| CAPITAL GROUP ALTERNATIVE STRATEGIES MASTER FUND, LP | Other Private Fund | $111M | May 29, 2026 | 2 | Sep 29, 2014 | reported | 021-205621 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BURT, CHRISTOPHER, THOMAS | DIRECTOR, SENIOR VICE PRESIDENT AND SECRETARY | Na | yes | 07/2020 | May 29, 2026 | May 29, 2026 |
| CAPITAL GROUP INTERNATIONAL, INC. | Shareholder | E | yes | 07/2020 | May 29, 2026 | May 29, 2026 |
| KNIHTILA, MATTHEW, EDWIN | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2025 | May 29, 2026 | May 29, 2026 |
| O'CONNOR, MATTHEW, PHILIP | DIRECTOR, CHAIRMAN | Na | yes | 07/2020 | May 29, 2026 | May 29, 2026 |
| Piken, Keith, Alan | Director | Na | yes | 06/2023 | May 29, 2026 | May 29, 2026 |
| SAKS, KEVIN, MICHAEL | DIRECTOR, PRESIDENT AND TREASURER | Na | yes | 07/2020 | May 29, 2026 | May 29, 2026 |
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | Shareholder | E | yes | 07/2014 | Jul 20, 2021 | Dec 9, 2024 |
| NIXON, NASEEM, ZARIFEH SAHAR | CHIEF COMPLIANCE OFFICER | Na | yes | 06/2024 | Jun 3, 2024 | Dec 9, 2024 |
| SILVERMAN, SUSI, MICHELE | CHIEF FINANCIAL OFFICER AND TREASURER | Na | yes | 10/2020 | Apr 20, 2021 | Dec 9, 2024 |
| THE CAPITAL GROUP COMPANIES, INC. | Shareholder | E | yes | 02/1967 | Jul 20, 2021 | Dec 9, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | n/a | Asset manager | $3754B | N | yes | n/a |
| CAPITAL BANK AND TRUST COMPANY | n/a | Asset manager | $139B | N | yes | n/a |
| CAPITAL INTERNATIONAL, INC. | n/a | Other adviser | $52B | N | yes | n/a |
| CAPITAL RESEARCH COMPANY | n/a | No RAUM reported | $0 | N | yes | n/a |
| CAPITAL CLIENT GROUP, INC. | n/a | No RAUM reported | n/a | N | yes | n/a |
| CAPITAL GROUP ALTERNATIVE STRATEGIES, LLC | n/a | n/a | n/a | N | yes | n/a |
| CAPITAL GROUP INVESTMENT MANAGEMENT PTE. LTD. | n/a | n/a | n/a | N | yes | n/a |
| CAPITAL GROUP UK MANAGEMENT COMPANY LIMITED | n/a | n/a | n/a | N | yes | n/a |
| CAPITAL GUARDIAN (CANADA), INC. | n/a | Former SEC adviser | n/a | N | yes | n/a |
| CAPITAL INTERNATIONAL LIMITED | n/a | n/a | n/a | N | yes | n/a |
| CAPITAL INTERNATIONAL MANAGEMENT COMPANY SARL | n/a | n/a | n/a | N | yes | n/a |
| CAPITAL INTERNATIONAL SARL | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SAN FRANCISCO | CA | United States | 11 | no |
| NEW YORK | NY | United States | 8 | no |
| LOS ANGELES | CA | United States | 7 | no |
| Chicago | IL | United States | 5 | no |
| Atlanta | Ga | United States | 4 | no |
| MENLO PARK | CA | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 2, 2026 | $43B | $39B | 189 | 96 | 6 | 1 | n/a |
| 2024 | Jan 23, 2025 | $38B | $35B | 176 | 60 | 6 | 1 | n/a |
| 2023 | Sep 28, 2023 | $34B | $31B | 176 | 65 | 6 | 1 | $98.3M |
| 2022 | Sep 28, 2022 | $31B | $28B | 179 | 68 | 6 | 1 | $99.0M |
| 2021 | Dec 2, 2021 | $36B | $33B | 169 | 50 | 6 | 1 | $104M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 12 | 1 | 11 | 1.0% | 2 | 1 | 0 | 29 | 7 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $43B | $38B | 11.4% | $31B | 11.4% | 189 | 176 | 6 | 6 |