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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

BOFCAL ASSET MANAGEMENT INC.

CRD 166828

MENLO PARK, 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:4c514c8e-d6e4-caef-0c48-e3d8ec5e40d9

Data as of Mar 31, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 18
On other graphs: 0
Observed: Mar 18, 2013 to Mar 31, 2025
31 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: $798MItem 5.F on the latest filing (2025-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $798M
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: 5
Advisory employees: 5
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 28
SEC number: 801-77801
CRD: 166828
Filings on the tape: 31
First filed: Mar 18, 2013
Latest filed: Mar 31, 2025
Organised: Corporation, NC

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
BANC OF CALIFORNIA	Owner	E	yes	12/2023	Jan 4, 2024	May 6, 2024
BANC OF CALIFORNIA, INC.	Owner	E	yes	11/2023	Jan 4, 2024	May 6, 2024
NGUYEN, MICHAEL, THIEN	PRESIDENT, MANAGING DIRECTOR, MEMBER, BOARD OF DIRECTORS	Na	yes	03/2013	Mar 18, 2013	May 6, 2024
SARMENTA, JOSE, V.	CHIEF COMPLIANCE OFFICER	Na	yes	04/2024	May 6, 2024	May 6, 2024
HUSSAIN, HAMID	MEMBER, BOARD OF DIRECTORS	Na	no	12/2023	Jan 4, 2024	May 6, 2024
INSKEEP, MARK, DAVID	MEMBER, BOARD OF DIRECTORS	Na	no	03/2024	Mar 14, 2024	May 6, 2024

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
BANC OF CALIFORNIA	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN DIEGO	CA	United States	1	no
WOODLAND HILLS	CA	United States	1	no

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
2024	Mar 31, 2025	$798M	$798M	5	5	2	n/a	n/a
2023	Mar 14, 2024	$184M	$184M	4	3	1	n/a	n/a
2022	Mar 27, 2023	$897M	$897M	5	4	1	n/a	n/a
2021	Mar 8, 2022	$1.2B	$879M	5	4	2	n/a	n/a
2020	Jan 28, 2021	$1.1B	$973M	6	5	1	n/a	n/a
2019	Jan 24, 2020	$1.2B	$1.2B	6	5	1	n/a	n/a
2018	Feb 22, 2019	$1.5B	$1.5B	5	4	1	n/a	n/a
2017	Feb 20, 2018	$1.7B	$1.7B	5	3	1	n/a	n/a
2016	Mar 29, 2017	$1.1B	$1.1B	6	3	n/a	n/a	n/a
2015	Mar 25, 2016	$1.6B	$1.6B	6	3	n/a	n/a	n/a
2014	Mar 19, 2015	$989M	$989M	6	3	n/a	n/a	n/a
2013	Mar 4, 2014	$109M	$108M	5	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
2024	$798M	$184M	333.4%	$1.2B	-12.7%	5	4	2	1

Relationships

Affiliated with (1)

← SQUARE 1 VENTURESRegistered adviserother investment adviser, common control
factForm ADV

Controls (3)

← SARMENTA, JOSE, V.OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 6, 2024 to May 6, 2024factForm ADV
← NGUYEN, MICHAEL, THIENOwnerPRESIDENT, MANAGING DIRECTOR, MEMBER, BOARD OF DIRECTORS, ownership code NA, individual
Mar 18, 2013 to May 6, 2024factForm ADV
← BANC OF CALIFORNIAOwnerOWNER, ownership code E, domestic entity
Jan 4, 2024 to May 6, 2024factForm ADV

Owns (2)

← HUSSAIN, HAMIDOwnerMEMBER, BOARD OF DIRECTORS, ownership code NA, individual
Jan 4, 2024 to May 6, 2024factForm ADV
← INSKEEP, MARK, DAVIDOwnerMEMBER, BOARD OF DIRECTORS, ownership code NA, individual
Mar 14, 2024 to May 6, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 31, 2025
Regulatory AUM changed
Bofcal Asset Management Inc. reported RAUM $797.6M, up 333% from $184.0M (2024-05-06 to 2025-03-31)
Form ADVobserved 5 days ago
$614M
Occurred
May 6, 2024
Control person joined
V. Jose Sarmenta (Chief Compliance Officer) appeared on Schedule A of Bofcal Asset Management Inc.
Form ADVobserved 5 days ago
Occurred
May 6, 2024
Control person left
James Cole Lohman (Chief Compliance Officer) no longer on Schedule A of Bofcal Asset Management Inc. (listed 2024-03-14, absent 2024-05-06)
Form ADVobserved 5 days ago
Occurred
Mar 14, 2024
Regulatory AUM changed
Bofcal Asset Management Inc. reported RAUM $184.0M, down 79% from $896.7M (2024-01-04 to 2024-03-14)
Form ADVobserved 5 days ago
$-713M
Occurred
Jan 4, 2024
Control person joined
James Cole Lohman (Chief Compliance Officer) appeared on Schedule A of Bofcal Asset Management Inc.
Form ADVobserved 5 days ago
Occurred
Jan 4, 2024
Control person left
Nicole Lisa Lawson (Chief Compliance Officer) no longer on Schedule A of Bofcal Asset Management Inc. (listed 2023-06-07, absent 2024-01-04)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2023
Regulatory AUM changed
Bofcal Asset Management Inc. reported RAUM $896.7M, down 25% from $1.2B (2022-07-05 to 2023-03-27)
Form ADVobserved 5 days ago
$-303M
Occurred
Mar 27, 2023
Control person left
Charles Donald Savino (Chief Compliance Officer) no longer on Schedule A of Bofcal Asset Management Inc. (listed 2022-07-05, absent 2023-03-27)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2023
Control person joined
Nicole Lisa Lawson (Chief Compliance Officer) appeared on Schedule A of Bofcal Asset Management Inc.
Form ADVobserved 5 days ago
Occurred
Dec 17, 2021
Control person left
Elliott Chang (Chief Compliance Officer) no longer on Schedule A of Bofcal Asset Management Inc. (listed 2021-03-29, absent 2021-12-17)
Form ADVobserved 5 days ago
Occurred
Dec 17, 2021
Control person joined
Charles Donald Savino (Chief Compliance Officer) appeared on Schedule A of Bofcal Asset Management Inc.
Form ADVobserved 5 days ago
Occurred
Jul 14, 2020
Control person joined
Terrence Mark Yung (Member, Board Of Directors) appeared on Schedule A of Bofcal Asset Management Inc.
Form ADVobserved 5 days ago
Occurred
Jan 24, 2020
Control person left
James Cole Lohman (Chief Compliance Officer) no longer on Schedule A of Bofcal Asset Management Inc. (listed 2019-05-16, absent 2020-01-24)
Form ADVobserved 5 days ago
Occurred
Jan 24, 2020
Control person joined
Elliott Chang (Chief Compliance Officer) appeared on Schedule A of Bofcal Asset Management Inc.
Form ADVobserved 5 days ago
Occurred
Feb 22, 2019
Control person left
Sook Kuan Loh (Vice President) no longer on Schedule A of Bofcal Asset Management Inc. (listed 2018-05-01, absent 2019-02-22)
Form ADVobserved 5 days ago
Occurred
Feb 20, 2018
Regulatory AUM changed
Bofcal Asset Management Inc. reported RAUM $1.7B, up 51% from $1.1B (2017-10-30 to 2018-02-20)
Form ADVobserved 5 days ago
$566M
Occurred
Mar 18, 2013
First Form ADV filing
Square 1 Asset Management filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Sep 2, 2025
Bofcal Asset Management Inc. no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $797.6M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4c514c8e-d6e4-caef-0c48-e3d8ec5e40d9
First observed: Mar 18, 2013
Last observed: Mar 31, 2025 17 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.

BOFCAL ASSET MANAGEMENT INC.

CRD 166828

MENLO PARK, 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:4c514c8e-d6e4-caef-0c48-e3d8ec5e40d9

Data as of Mar 31, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:17 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BANC OF CALIFORNIA

Owner

yes

12/2023

Jan 4, 2024

May 6, 2024

BANC OF CALIFORNIA, INC.

Owner

yes

11/2023

Jan 4, 2024

May 6, 2024

NGUYEN, MICHAEL, THIEN

PRESIDENT, MANAGING DIRECTOR, MEMBER, BOARD OF DIRECTORS

yes

03/2013

Mar 18, 2013

May 6, 2024

SARMENTA, JOSE, V.

CHIEF COMPLIANCE OFFICER

yes

04/2024

May 6, 2024

HUSSAIN, HAMID

MEMBER, BOARD OF DIRECTORS

12/2023

Jan 4, 2024

May 6, 2024

INSKEEP, MARK, DAVID

MEMBER, BOARD OF DIRECTORS

03/2024

Mar 14, 2024

May 6, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BANC OF CALIFORNIA

n/a

City

State

Country

Employees

Also broker-dealer

SAN DIEGO

United States

WOODLAND HILLS

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 31, 2025

$798M

n/a

2023

Mar 14, 2024

$184M

n/a

2022

Mar 27, 2023

$897M

n/a

2021

Mar 8, 2022

$1.2B

$879M

n/a

2020

Jan 28, 2021

$1.1B

$973M

n/a

2019

Jan 24, 2020

$1.2B

n/a

2018

Feb 22, 2019

$1.5B

n/a

2017

Feb 20, 2018

$1.7B

n/a

2016

Mar 29, 2017

$1.1B

n/a

2015

Mar 25, 2016

$1.6B

n/a

2014

Mar 19, 2015

$989M

n/a

2013

Mar 4, 2014

$109M

$108M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$798M

$184M

333.4%

$1.2B

-12.7%