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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

PACIFIC GLOBAL ADVISORS LLC

CRD 157242

NEW YORK, NY

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:c2a833f4-cb70-da48-b9f5-9999f9f4be36

Data as of Mar 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 22, 2012 to Mar 30, 2015
10 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: $23BItem 5.F on the latest filing (2015-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.7B
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: 65
Advisory employees: 48
Accounts: 56
SEC number: 801-72311
CRD: 157242
Filings on the tape: 10
First filed: Mar 22, 2012
Latest filed: Mar 30, 2015
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
PGA MULTI-STRATEGY LIQUID ALTERNATIVES MASTER FUND, L.P	Hedge Fund	$50.3M	Jul 9, 2014	1	Mar 6, 2013	reported	021-192751

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
CHEEVER, SHARON, A	SENIOR VICE PRESIDENT	Na	yes	03/2011	Mar 22, 2012	Mar 30, 2015
GRIGGS, ADRIAN, SCOTT	CHIEF FINANCIAL OFFICER	Na	yes	06/2012	Sep 28, 2012	Mar 30, 2015
OATEN, DAVID, ANTHONY	MANAGING DIRECTOR	Na	yes	07/2011	Mar 22, 2012	Mar 30, 2015
PACIFIC LIFE INSURANCE COMPANY	MANAGING MEMBER OF APPLICANT	E	yes	03/2011	Mar 22, 2012	Mar 30, 2015
PACIFIC LIFECORP	Parent	E	yes	05/2007	Mar 22, 2012	Mar 30, 2015
PACIFIC MUTUAL HOLDING COMPANY	Parent	E	yes	05/2007	Mar 22, 2012	Mar 30, 2015
SICHEL, ROBERT, LOUIS	CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL	Na	yes	08/2011	Mar 22, 2012	Mar 30, 2015
TRAN, KHANH, THIEN	President	Na	yes	03/2011	Mar 22, 2012	Mar 30, 2015

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
PACIFIC LIFE INSURANCE COMPANY	n/a	n/a	n/a	Y	no	n/a
PACIFIC SELECT DISTRIBUTORS, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
NEWPORT BEACH	CA	United States	n/a	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; showing 3 of 4

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 30, 2015	$23B	$5.7B	65	48	n/a	n/a	n/a
2013	Mar 31, 2014	$20B	$3.7B	49	22	n/a	1	$50.3M
2012	Mar 28, 2013	$19B	$3.4B	39	22	n/a	1	$50.0M

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
2014	$23B	$20B	13.3%	n/a	n/a	65	49	n/a	n/a

Relationships

Affiliated with (2)

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

Controls (8)

← TRAN, KHANH, THIENOwnerPRESIDENT, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV
← OATEN, DAVID, ANTHONYOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV
← GRIGGS, ADRIAN, SCOTTOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Sep 28, 2012 to presentfactForm ADV
← SICHEL, ROBERT, LOUISOwnerCHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV
← CHEEVER, SHARON, AOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV
← PACIFIC LIFE INSURANCE COMPANYOwnerMANAGING MEMBER OF APPLICANT, ownership code E, domestic entity
Mar 22, 2012 to presentfactForm ADV
← PACIFIC LIFECORPOwnerPARENT, ownership code E, domestic entity
Mar 22, 2012 to presentfactForm ADV
← PACIFIC MUTUAL HOLDING COMPANYOwnerPARENT, ownership code E, domestic entity
Mar 22, 2012 to presentfactForm ADV

Advises (1)

→ PGA MULTI-STRATEGY LIQUID ALTERNATIVES MASTER FUND, L.PPrivate fundHedge Fund, IA
Mar 6, 2013 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c2a833f4-cb70-da48-b9f5-9999f9f4be36
First observed: Mar 22, 2012
Last observed: Mar 30, 2015 139 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.

PACIFIC GLOBAL ADVISORS LLC

CRD 157242

NEW YORK, NY

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:c2a833f4-cb70-da48-b9f5-9999f9f4be36

Data as of Mar 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:03 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

PGA MULTI-STRATEGY LIQUID ALTERNATIVES MASTER FUND, L.P

Hedge Fund

$50.3M

Jul 9, 2014

Mar 6, 2013

reported

021-192751

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHEEVER, SHARON, A

SENIOR VICE PRESIDENT

yes

03/2011

Mar 22, 2012

Mar 30, 2015

GRIGGS, ADRIAN, SCOTT

CHIEF FINANCIAL OFFICER

yes

06/2012

Sep 28, 2012

Mar 30, 2015

OATEN, DAVID, ANTHONY

MANAGING DIRECTOR

yes

07/2011

Mar 22, 2012

Mar 30, 2015

PACIFIC LIFE INSURANCE COMPANY

MANAGING MEMBER OF APPLICANT

yes

03/2011

Mar 22, 2012

Mar 30, 2015

PACIFIC LIFECORP

Parent

yes

05/2007

Mar 22, 2012

Mar 30, 2015

PACIFIC MUTUAL HOLDING COMPANY

Parent

yes

05/2007

Mar 22, 2012

Mar 30, 2015

SICHEL, ROBERT, LOUIS

CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL

yes

08/2011

Mar 22, 2012

Mar 30, 2015

TRAN, KHANH, THIEN

President

yes

03/2011

Mar 22, 2012

Mar 30, 2015

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

PACIFIC LIFE INSURANCE COMPANY

n/a

PACIFIC SELECT DISTRIBUTORS, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEWPORT BEACH

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 30, 2015

$23B

$5.7B

n/a

2013

Mar 31, 2014

$20B

$3.7B

n/a

$50.3M

2012

Mar 28, 2013

$19B

$3.4B

n/a

$50.0M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$23B

$20B

13.3%

n/a