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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PAYDEN/KRAVITZ INVESTMENT ADVISERS LLC

CRD 147271

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:261daeab-2b89-7218-f8cb-42f73055537b

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Mar 28, 2012 to Mar 31, 2022
14 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $117MItem 5.F on the latest filing (2022-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $117M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
Individual clients: 0
High net worth clients: 0
SEC number: 801-69194
CRD: 147271
Filings on the tape: 14
First filed: Mar 28, 2012
Latest filed: Mar 31, 2022
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
GARLOCK, EDWARD, SANFERN	VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	Na	yes	05/2008	Mar 28, 2012	Mar 31, 2022
HERSH, BRADLEY, FORREST	VICE PRESIDENT & CHIEF FINANCIAL OFFICER	Na	yes	05/2008	Mar 28, 2012	Mar 31, 2022
KPLANS INVESTMENT SERVICES, INC.	Member	D	yes	02/2009	Mar 28, 2012	Mar 31, 2022
KRAVITZ, DANIEL	CO-CHAIRMAN & DIRECTOR	Na	yes	05/2008	Mar 28, 2012	Mar 31, 2022
KRAVITZ, DANIEL	President	D	yes	05/2005	Mar 28, 2012	Mar 31, 2022
MATTHEWS, BRIAN, WEBB	CO-CHAIRMAN & DIRECTOR	Na	yes	01/2009	Mar 28, 2012	Mar 31, 2022
PAYDEN & RYGEL	Member	D	yes	04/2008	Mar 28, 2012	Mar 31, 2022
PAYDEN, JOAN, ANN	PRESIDENT AND DIRECTOR	D	yes	08/1983	Mar 28, 2012	Mar 31, 2022
SANSONE, STEVEN, SAMUEL	CO-PRESIDENT & DIRECTOR	Na	yes	01/2009	Mar 28, 2012	Mar 31, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PAYDEN & RYGEL	n/a	Other adviser	$158B	Y	no	n/a
METZLER-PAYDEN, LLC	n/a	Institutional manager	$1.3B	N	yes	n/a
KPLANS INVESTMENT SERVICES, INC.	n/a	Former SEC adviser	$77.5M	Y	no	n/a
PAYDEN & RYGEL DISTRIBUTORS	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 31, 2022	$117M	$117M	0	0	0	n/a	n/a
2020	Mar 31, 2021	$146M	$146M	0	0	0	n/a	n/a
2019	May 15, 2020	$189M	$189M	0	0	0	n/a	n/a
2018	Mar 30, 2019	$194M	$194M	0	0	0	n/a	n/a
2017	Mar 29, 2018	$216M	$216M	0	0	0	n/a	n/a
2016	Mar 31, 2017	$212M	$212M	0	0	n/a	n/a	n/a
2015	Mar 30, 2016	$305M	$305M	0	0	n/a	n/a	n/a
2014	Mar 30, 2015	$238M	$238M	0	0	n/a	n/a	n/a
2013	Mar 31, 2014	$155M	$155M	4	3	n/a	n/a	n/a
2012	Mar 28, 2013	$197M	$197M	4	3	n/a	n/a	n/a
2011	Apr 30, 2012	$157M	$157M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$117M	$146M	-19.9%	$194M	-15.5%	0	0	0	0

Relationships

Affiliated with (4)

→ PAYDEN & RYGELRegistered adviserother investment adviser, bank, control
factForm ADV
→ METZLER-PAYDEN, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ KPLANS INVESTMENT SERVICES, INC.Registered adviserother investment adviser, control
factForm ADV
← KPLANS INVESTMENT SERVICES, INC.Registered adviserother investment adviser
factForm ADV

Controls (8)

← PAYDEN & RYGELOwnerMEMBER, ownership code D, domestic entity
Mar 28, 2012 to presentfactForm ADV
← KPLANS INVESTMENT SERVICES, INC.OwnerMEMBER, ownership code D, domestic entity
Mar 28, 2012 to presentfactForm ADV
← GARLOCK, EDWARD, SANFERNOwnerVICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← MATTHEWS, BRIAN, WEBBOwnerCO-CHAIRMAN & DIRECTOR, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← HERSH, BRADLEY, FORRESTOwnerVICE PRESIDENT & CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← SANSONE, STEVEN, SAMUELOwnerCO-PRESIDENT & DIRECTOR, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← PAYDEN, JOAN, ANNOwnerPRESIDENT AND DIRECTOR, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV
← KRAVITZ, DANIELOwnerPRESIDENT, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 28, 2022
Control person left
Jay Scott Weiner (Co-President & Director) no longer on Schedule A of Payden/Kravitz Investment Advisers Llc (listed 2021-03-31, absent 2022-03-28)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:261daeab-2b89-7218-f8cb-42f73055537b
First observed: Mar 28, 2012
Last observed: Mar 31, 2022 54 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PAYDEN/KRAVITZ INVESTMENT ADVISERS LLC

CRD 147271

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:261daeab-2b89-7218-f8cb-42f73055537b

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:41 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GARLOCK, EDWARD, SANFERN

VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER

yes

05/2008

Mar 28, 2012

Mar 31, 2022

HERSH, BRADLEY, FORREST

VICE PRESIDENT & CHIEF FINANCIAL OFFICER

yes

05/2008

Mar 28, 2012

Mar 31, 2022

KPLANS INVESTMENT SERVICES, INC.

Member

yes

02/2009

Mar 28, 2012

Mar 31, 2022

KRAVITZ, DANIEL

CO-CHAIRMAN & DIRECTOR

yes

05/2008

Mar 28, 2012

Mar 31, 2022

KRAVITZ, DANIEL

President

yes

05/2005

Mar 28, 2012

Mar 31, 2022

MATTHEWS, BRIAN, WEBB

CO-CHAIRMAN & DIRECTOR

yes

01/2009

Mar 28, 2012

Mar 31, 2022

PAYDEN & RYGEL

Member

yes

04/2008

Mar 28, 2012

Mar 31, 2022

PAYDEN, JOAN, ANN

PRESIDENT AND DIRECTOR

yes

08/1983

Mar 28, 2012

Mar 31, 2022

SANSONE, STEVEN, SAMUEL

CO-PRESIDENT & DIRECTOR

yes

01/2009

Mar 28, 2012

Mar 31, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PAYDEN & RYGEL

n/a

Other adviser

$158B

n/a

METZLER-PAYDEN, LLC

n/a

Institutional manager

$1.3B

yes

n/a

KPLANS INVESTMENT SERVICES, INC.

n/a

Former SEC adviser

$77.5M

n/a

PAYDEN & RYGEL DISTRIBUTORS

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 31, 2022

$117M

n/a

2020

Mar 31, 2021

$146M

n/a

2019

May 15, 2020

$189M

n/a

2018

Mar 30, 2019

$194M

n/a

2017

Mar 29, 2018

$216M

n/a

2016

Mar 31, 2017

$212M

n/a

2015

Mar 30, 2016

$305M

n/a

2014

Mar 30, 2015

$238M

n/a

2013

Mar 31, 2014

$155M

n/a

2012

Mar 28, 2013

$197M

n/a

2011

Apr 30, 2012

$157M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$117M

$146M

-19.9%

$194M

-15.5%