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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SWELL INVESTING LLC

CRD 285058

SANTA MONICA, 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:484983a9-3bd2-8cad-d669-5279d880957e

Data as of Apr 9, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 4
On other graphs: 0
Observed: Nov 4, 2016 to Apr 9, 2019
8 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: $33.0MItem 5.F on the latest filing (2019-04-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $33.0M
Private client RAUM: $24.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 75%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 43
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 14,122
Individual clients: 13,484
High net worth clients: 636
SEC number: 801-108656
CRD: 285058
Filings on the tape: 8
First filed: Nov 4, 2016
Latest filed: Apr 9, 2019
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
BAKER, VAUGHN, WILLIAM	CHIEF OPERATING OFFICER	Na	yes	12/2018	Mar 29, 2019	Apr 9, 2019
FANGER, DAVID, NATHAN WALTER	CHIEF EXECUTIVE OFFICER	Na	yes	01/2015	Nov 4, 2016	Apr 9, 2019
MACDONALD, LESLIE, THOMPSON	CHIEF LEGAL OFFICER	Na	yes	01/2015	Nov 4, 2016	Apr 9, 2019
PACIFIC LIFE INSURANCE COMPANY	MANAGING MEMBER	E	yes	06/2018	Nov 4, 2016	Apr 9, 2019
PACIFIC LIFECORP	Owner	E	yes	05/2007	Nov 4, 2016	Apr 9, 2019
PACIFIC MUTUAL HOLDING COMPANY	Owner	E	yes	01/2018	Nov 4, 2016	Apr 9, 2019
RUMSEY, CAROL, ELAINE	CHIEF COMPLIANCE OFFICER	Na	yes	01/2019	Nov 4, 2016	Apr 9, 2019
SWELL INVESTING HOLDING LLC	MANAGING MEMBER	E	yes	01/2018	Mar 27, 2018	Apr 9, 2019

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
PACIFIC LIFE FUND ADVISORS LLC	n/a	Asset manager	$43B	N	yes	n/a
PACIFIC PRIVATE FUND ADVISORS LLC	n/a	Asset manager	$12B	N	yes	n/a
CADENCE CAPITAL MANAGEMENT LLC	n/a	Former SEC adviser	$2.1B	N	yes	n/a
PACIFIC GLOBAL ADVISORS LLC	n/a	Former SEC adviser	$57.1M	N	yes	n/a
PACIFIC LIFE INSURANCE COMPANY	n/a	n/a	n/a	Y	yes	n/a
PACIFIC SELECT DISTRIBUTORS, LLC	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
2018	Mar 29, 2019	$33.0M	$33.0M	43	4	0	n/a	n/a
2017	Mar 27, 2018	$16.4M	$16.4M	30	6	1	n/a	n/a
2016	Mar 17, 2017	$6.6M	$6.6M	10	3	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
2018	$33.0M	$16.4M	101.0%	n/a	n/a	43	30	0	1

Relationships

Affiliated with (4)

→ PACIFIC LIFE FUND ADVISORS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CADENCE CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ PACIFIC PRIVATE FUND ADVISORS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ PACIFIC GLOBAL ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (8)

← BAKER, VAUGHN, WILLIAMOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 29, 2019 to presentfactForm ADV
← MACDONALD, LESLIE, THOMPSONOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Nov 4, 2016 to presentfactForm ADV
← RUMSEY, CAROL, ELAINEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 4, 2016 to presentfactForm ADV
← FANGER, DAVID, NATHAN WALTEROwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Nov 4, 2016 to presentfactForm ADV
← PACIFIC LIFE INSURANCE COMPANYOwnerMANAGING MEMBER, ownership code E, domestic entity
Nov 4, 2016 to presentfactForm ADV
← PACIFIC LIFECORPOwnerOWNER, ownership code E, domestic entity
Nov 4, 2016 to presentfactForm ADV
← PACIFIC MUTUAL HOLDING COMPANYOwnerOWNER, ownership code E, domestic entity
Nov 4, 2016 to presentfactForm ADV
← SWELL INVESTING HOLDING LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 27, 2018 to presentfactForm ADV

Dated events

Occurred
Mar 29, 2019
Control person joined
William Vaughn Baker (Chief Operating Officer) appeared on Schedule A of Swell Investing Llc
Form ADVobserved 6 days ago
Occurred
Jan 14, 2019
Control person left
[Nmn] Mazi Bahadori (Chief Compliance Officer) no longer on Schedule A of Swell Investing Llc (listed 2018-08-20, absent 2019-01-14)
Form ADVobserved 6 days ago
Occurred
Jan 14, 2019
Control person joined
Elaine Carol Rumsey (Chief Compliance Officer) appeared on Schedule A of Swell Investing Llc
Form ADVobserved 6 days ago
Occurred
Nov 4, 2016
First Form ADV filing
Swell Investing Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:484983a9-3bd2-8cad-d669-5279d880957e
First observed: Nov 4, 2016
Last observed: Apr 9, 2019 90 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.

SWELL INVESTING LLC

CRD 285058

SANTA MONICA, 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:484983a9-3bd2-8cad-d669-5279d880957e

Data as of Apr 9, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:43 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAKER, VAUGHN, WILLIAM

CHIEF OPERATING OFFICER

yes

12/2018

Mar 29, 2019

Apr 9, 2019

FANGER, DAVID, NATHAN WALTER

CHIEF EXECUTIVE OFFICER

yes

01/2015

Nov 4, 2016

Apr 9, 2019

MACDONALD, LESLIE, THOMPSON

CHIEF LEGAL OFFICER

yes

01/2015

Nov 4, 2016

Apr 9, 2019

PACIFIC LIFE INSURANCE COMPANY

MANAGING MEMBER

yes

06/2018

Nov 4, 2016

Apr 9, 2019

PACIFIC LIFECORP

Owner

yes

05/2007

Nov 4, 2016

Apr 9, 2019

PACIFIC MUTUAL HOLDING COMPANY

Owner

yes

01/2018

Nov 4, 2016

Apr 9, 2019

RUMSEY, CAROL, ELAINE

CHIEF COMPLIANCE OFFICER

yes

01/2019

Nov 4, 2016

Apr 9, 2019

SWELL INVESTING HOLDING LLC

MANAGING MEMBER

yes

01/2018

Mar 27, 2018

Apr 9, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PACIFIC LIFE FUND ADVISORS LLC

n/a

Asset manager

$43B

yes

n/a

PACIFIC PRIVATE FUND ADVISORS LLC

n/a

Asset manager

$12B

yes

n/a

CADENCE CAPITAL MANAGEMENT LLC

n/a

Former SEC adviser

$2.1B

yes

n/a

PACIFIC GLOBAL ADVISORS LLC

n/a

Former SEC adviser

$57.1M

yes

n/a

PACIFIC LIFE INSURANCE COMPANY

n/a

yes

n/a

PACIFIC SELECT DISTRIBUTORS, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 29, 2019

$33.0M

n/a

2017

Mar 27, 2018

$16.4M

n/a

2016

Mar 17, 2017

$6.6M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$33.0M

$16.4M

101.0%

n/a