DFX Intelligence

Data Factory

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

SOTEIRA CAPITAL, LLC

CRD 154586

IRVINE, 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:c9b6b609-6066-0e2b-81c3-bdbd6dc104e2

Data as of Sep 10, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Mar 20, 2012 to Sep 10, 2020
20 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: $16.7MItem 5.F on the latest filing (2020-09-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $16.7M
Private client RAUM: $14.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 20
High net worth clients: 18
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $1.0Mgross asset value as reported per fund; never fund size
Custody, client assets: $1.0M
SEC number: 801-71825
CRD: 154586
Filings on the tape: 20
First filed: Mar 20, 2012
Latest filed: Sep 10, 2020
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
HUNTRESS FUND L.P.	Hedge Fund	$1.0M	Sep 10, 2020	4	Mar 30, 2020	reported	n/a

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
CLARK, DEREK, CHARLES	CHIEF INVESTMENT OFFICER / CIO	E	yes	07/2010	Mar 31, 2017	Sep 10, 2020
CLARK, DEREK, CHARLES	CHIEF INVESTMENT OFFICER / CIO	Na	yes	07/2010	Mar 31, 2017	Sep 10, 2020
NOWELL, ARTHUR, RALPH	SR STRATEGIST	Na	yes	07/2010	Mar 20, 2012	Sep 10, 2020
SANTOS, LAURA, LYNN	CHIEF COMPLIANCE OFFICER	Na	yes	10/2019	Mar 30, 2020	Sep 10, 2020
SOTEIRA INVESTORS, LLC	MEMBER MANAGER	E	yes	07/2010	Mar 20, 2012	Sep 10, 2020
NOWELL, ARTHUR, RALPH	SR STRATEGIST	F	no	07/2010	Mar 20, 2012	Sep 10, 2020

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
2019	Mar 30, 2020	$16.7M	$16.7M	3	2	0	1	$1.0M
2018	May 10, 2019	$100M	$100M	2	2	1	n/a	n/a
2017	Mar 6, 2018	$300M	$300M	4	3	1	n/a	n/a
2016	Mar 31, 2017	$220M	$220M	4	3	n/a	n/a	n/a
2014	Mar 26, 2015	$250M	$250M	4	3	n/a	n/a	n/a
2013	Mar 28, 2014	$250M	$250M	7	5	n/a	n/a	n/a
2012	Mar 28, 2013	$250M	$250M	7	5	n/a	n/a	n/a
2011	Mar 20, 2012	$250M	$250M	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
2019	$16.7M	$100M	-83.3%	$220M	-57.7%	3	2	0	1

Relationships

Advises (1)

→ HUNTRESS FUND L.P.Private fundHedge Fund, IA
Mar 30, 2020 to presentfactForm ADV

Controls (4)

← CLARK, DEREK, CHARLESOwnerCHIEF INVESTMENT OFFICER / CIO, ownership code E, individual
Mar 31, 2017 to presentfactForm ADV
← NOWELL, ARTHUR, RALPHOwnerSR STRATEGIST, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← SANTOS, LAURA, LYNNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2020 to presentfactForm ADV
← SOTEIRA INVESTORS, LLCOwnerMEMBER MANAGER, ownership code E, domestic entity
Mar 20, 2012 to presentfactForm ADV

Owns (1)

← NOWELL, ARTHUR, RALPHOwnerSR STRATEGIST, ownership code F, individual
Mar 20, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 30, 2020
Control person joined
Lynn Laura Santos (Chief Compliance Officer) appeared on Schedule A of Soteira Capital, Llc
Form ADVobserved 5 days ago
Occurred
May 10, 2019
Regulatory AUM changed
Soteira Capital, Llc reported RAUM $100.0M, down 67% from $300.0M (2018-03-06 to 2019-05-10)
Form ADVobserved 5 days ago
$-200M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c9b6b609-6066-0e2b-81c3-bdbd6dc104e2
First observed: Mar 20, 2012
Last observed: Sep 10, 2020 73 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.

SOTEIRA CAPITAL, LLC

CRD 154586

IRVINE, 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:c9b6b609-6066-0e2b-81c3-bdbd6dc104e2

Data as of Sep 10, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:32 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

HUNTRESS FUND L.P.

Hedge Fund

$1.0M

Sep 10, 2020

Mar 30, 2020

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CLARK, DEREK, CHARLES

CHIEF INVESTMENT OFFICER / CIO

yes

07/2010

Mar 31, 2017

Sep 10, 2020

CLARK, DEREK, CHARLES

CHIEF INVESTMENT OFFICER / CIO

yes

07/2010

Mar 31, 2017

Sep 10, 2020

NOWELL, ARTHUR, RALPH

SR STRATEGIST

yes

07/2010

Mar 20, 2012

Sep 10, 2020

SANTOS, LAURA, LYNN

CHIEF COMPLIANCE OFFICER

yes

10/2019

Mar 30, 2020

Sep 10, 2020

SOTEIRA INVESTORS, LLC

MEMBER MANAGER

yes

07/2010

Mar 20, 2012

Sep 10, 2020

NOWELL, ARTHUR, RALPH

SR STRATEGIST

07/2010

Mar 20, 2012

Sep 10, 2020

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 30, 2020

$16.7M

$1.0M

2018

May 10, 2019

$100M

n/a

2017

Mar 6, 2018

$300M

n/a

2016

Mar 31, 2017

$220M

n/a

2014

Mar 26, 2015

$250M

n/a

2013

Mar 28, 2014

$250M

n/a

2012

Mar 28, 2013

$250M

n/a

2011

Mar 20, 2012

$250M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$16.7M

$100M

-83.3%

$220M

-57.7%