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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

CORIENT CAPITAL PARTNERS, LLC

CRD 170920

NEWPORT BEACH, 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:db12272d-b948-eb90-c00b-87cbd36c4a2d

Data as of Mar 2, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 18
On other graphs: 1
Observed: Apr 2, 2014 to Mar 2, 2023
27 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Corient Capital Partners, LLC

Intermediary · shared crd

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: $5.0BItem 5.F on the latest filing (2023-03-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.9B
Private client RAUM: $4.8BderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 29
Advisory employees: 13
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 4,695
Individual clients: 177
High net worth clients: 318
Custody, client assets: $909M
SEC number: 801-79578
CRD: 170920
Filings on the tape: 27
First filed: Apr 2, 2014
Latest filed: Mar 2, 2023
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
CI FINANCIAL CORP	Owner	E	yes	04/2022	May 27, 2022	Mar 2, 2023
CI PRIVATE WEALTH, LLC	Owner	E	yes	04/2022	Mar 1, 2023	Mar 2, 2023
CI US HOLDINGS, INC	Owner	E	yes	04/2022	Mar 1, 2023	Mar 2, 2023
CIPW HOLDINGS, LLC	Owner	E	yes	04/2022	Mar 1, 2023	Mar 2, 2023
COPPS, CHRISTOPHER, ALDEN	Partner	Na	yes	09/2015	Sep 25, 2015	Mar 2, 2023
HENDERSON, DARREN, LEE	HEAD OF ADVISORY	Na	yes	09/2015	Sep 25, 2015	Mar 2, 2023
NAKAMURA, LARRY, TRISTON	CHIEF COMPLIANCE OFFICER	Na	yes	02/2023	Mar 2, 2023	Mar 2, 2023
STIMPSON, ALEXANDER, FARNUM	Partner	Na	yes	09/2015	Sep 25, 2015	Mar 2, 2023
HASSENPLUG, GORDON	Partner	Na	no	09/2015	Sep 25, 2015	Mar 2, 2023
TENNEY, JONATHAN, PAUL	Partner	Na	no	09/2015	Sep 25, 2015	Mar 2, 2023

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
CI PRIVATE WEALTH, LLC	n/a	Independent wealth	$165B	Y	yes	n/a
CORIENT VENTURES, 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
2021	Mar 31, 2022	$5.0B	$3.9B	29	13	0	n/a	n/a
2020	Mar 28, 2021	$3.6B	$2.6B	22	19	0	n/a	n/a
2019	Feb 5, 2020	$2.8B	$2.1B	21	13	0	n/a	n/a
2018	Mar 19, 2019	$2.3B	$1.7B	21	13	0	n/a	n/a
2017	Mar 15, 2018	$2.0B	$1.4B	17	11	0	n/a	n/a
2016	Mar 29, 2017	$1.5B	$1.1B	14	10	n/a	n/a	n/a
2015	Mar 3, 2016	$1.1B	$1.1B	12	9	n/a	n/a	n/a
2014	Feb 11, 2015	n/a	n/a	1	0	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	$5.0B	$3.6B	40.1%	$2.3B	29.0%	29	22	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
Corient	8	Mar 31, 2023	Jan 3, 2025	NEWPORT BEACH, CA	Firm absorbed	RIA to ibd	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	5	Sep 29, 2015	Sep 25, 2015	NEWPORT BEACH, CA	Team lift out	Other	0.0%

Relationships

Affiliated with (1)

→ CORIENTRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (8)

← COPPS, CHRISTOPHER, ALDENOwnerPARTNER, ownership code NA, individual
Sep 25, 2015 to presentfactForm ADV
← STIMPSON, ALEXANDER, FARNUMOwnerPARTNER, ownership code NA, individual
Sep 25, 2015 to presentfactForm ADV
← NAKAMURA, LARRY, TRISTONOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 2, 2023 to presentfactForm ADV
← HENDERSON, DARREN, LEEOwnerHEAD OF ADVISORY, ownership code NA, individual
Sep 25, 2015 to presentfactForm ADV
← CI FINANCIAL CORPOwnerOWNER, ownership code E, foreign entity
May 27, 2022 to presentfactForm ADV
← CI PRIVATE WEALTH, LLCOwnerOWNER, ownership code E, domestic entity
Mar 1, 2023 to presentfactForm ADV
← CI US HOLDINGS, INCOwnerOWNER, ownership code E, domestic entity
Mar 1, 2023 to presentfactForm ADV
← CIPW HOLDINGS, LLCOwnerOWNER, ownership code E, domestic entity
Mar 1, 2023 to presentfactForm ADV

Owns (2)

← TENNEY, JONATHAN, PAULOwnerPARTNER, ownership code NA, individual
Sep 25, 2015 to presentfactForm ADV
← HASSENPLUG, GORDONOwnerPARTNER, ownership code NA, individual
Sep 25, 2015 to presentfactForm ADV

Moved with (2)

→ CORIENTRegistered adviser8 advisors, firm absorbed, same day
Mar 31, 2023 to Jan 3, 2025factForm ADV
← MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviser5 advisors, team lift out, same day
Sep 29, 2015 to Sep 25, 2015factForm ADV

Registered with (9)

← CHRISTOPHER ALDEN COPPSAdvisorregistration: previous registration
Sep 25, 2015 to Mar 31, 2023factForm ADV
← ALEXANDER FARNUM STIMPSONAdvisorregistration: previous registration
Sep 25, 2015 to Mar 31, 2023factForm ADV
← DARREN LEE HENDERSONAdvisorregistration: previous registration
Sep 25, 2015 to Mar 31, 2023factForm ADV
← GORDON HASSENPLUGAdvisorregistration: previous registration
Sep 25, 2015 to Mar 31, 2023factForm ADV
← MICHAEL RANDALL PHELPSAdvisorregistration: previous registration
Sep 25, 2015 to Mar 31, 2023factForm ADV
← ROBINDER SINGH SAGGUAdvisorregistration: previous registration
Jun 24, 2016 to Mar 31, 2023factForm ADV
← GREGORY JAMES WALTERSAdvisorregistration: previous registration
Sep 25, 2015 to Mar 31, 2023factForm ADV
← AUSTIN THOMAS ALLENAdvisorregistration: previous registration
Nov 4, 2020 to Mar 31, 2023factForm ADV
← JAMES ALBERT ROONEYAdvisorregistration: previous registration
Aug 2, 2017 to Jan 17, 2023factForm ADV

Dated events

Occurred
Mar 31, 2023
Firm absorbed
Corient Capital Partners, LLC's advisors moved to Corient (Newport Beach, CA): 8 of 8 registered, on the same day
Form ADVobserved 4 days ago
8 advisors
Occurred
Mar 31, 2023
Advisor changed firm
Darren Lee Henderson left Corient Capital Partners, Llc for Corient (registered 2022-11-14)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Gordon Hassenplug left Corient Capital Partners, Llc for Corient (registered 2022-11-14)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Austin Thomas Allen left Corient Capital Partners, Llc for Corient (registered 2023-12-13)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Christopher Alden Copps left Corient Capital Partners, Llc for Corient (registered 2025-01-03)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Robinder Singh Saggu left Corient Capital Partners, Llc for Corient (registered 2022-11-14)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Gregory James Walters left Corient Capital Partners, Llc for Corient (registered 2022-11-14)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Alexander Farnum Stimpson left Corient Capital Partners, Llc for Corient (registered 2022-11-16)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Michael Randall Phelps left Corient Capital Partners, Llc for Corient (registered 2022-11-14)
Form ADVobserved 4 days ago
Occurred
Mar 2, 2023
Control person joined
Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Corient Capital Partners, Llc
Form ADVobserved 4 days ago
Occurred
Mar 2, 2023
Control person left
James Gregory Walters (Chief Compliance Officer) no longer on Schedule A of Corient Capital Partners, Llc (listed 2023-03-01, absent 2023-03-02)
Form ADVobserved 4 days ago
Occurred
Jan 17, 2023
Advisor changed firm
James Albert Rooney left Corient Capital Partners, Llc for Sapient Capital Llc (registered 2024-12-16)
Form ADVobserved 4 days ago
Occurred
May 27, 2022
Control person left
Randall Michael Phelps (Chief Financial Officer) no longer on Schedule A of Corient Capital Partners, Llc (listed 2022-03-31, absent 2022-05-27)
Form ADVobserved 4 days ago
Occurred
May 27, 2022
Control person left
Albert James Rooney (Chief Executive Officer) no longer on Schedule A of Corient Capital Partners, Llc (listed 2022-03-31, absent 2022-05-27)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
Corient Capital Partners, Llc reported RAUM $5.0B, up 40% from $3.6B (2021-12-22 to 2022-03-31)
Form ADVobserved 4 days ago
$1.4B
Occurred
Mar 28, 2021
Regulatory AUM changed
Corient Capital Partners, Llc reported RAUM $3.6B, up 28% from $2.8B (2020-11-13 to 2021-03-28)
Form ADVobserved 4 days ago
$779M
Occurred
Feb 5, 2020
Control person left
Dheeraj Sultanian (General Counsel & Chief Compliance Officer) no longer on Schedule A of Corient Capital Partners, Llc (listed 2019-07-08, absent 2020-02-05)
Form ADVobserved 4 days ago
Occurred
Apr 2, 2014
First Form ADV filing
Dawn Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:db12272d-b948-eb90-c00b-87cbd36c4a2d
First observed: Apr 2, 2014
Last observed: Mar 2, 2023 43 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.

CORIENT CAPITAL PARTNERS, LLC

CRD 170920

NEWPORT BEACH, 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:db12272d-b948-eb90-c00b-87cbd36c4a2d

Data as of Mar 2, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CI FINANCIAL CORP

Owner

yes

04/2022

May 27, 2022

Mar 2, 2023

CI PRIVATE WEALTH, LLC

Owner

yes

04/2022

Mar 1, 2023

Mar 2, 2023

CI US HOLDINGS, INC

Owner

yes

04/2022

Mar 1, 2023

Mar 2, 2023

CIPW HOLDINGS, LLC

Owner

yes

04/2022

Mar 1, 2023

Mar 2, 2023

COPPS, CHRISTOPHER, ALDEN

Partner

yes

09/2015

Sep 25, 2015

Mar 2, 2023

HENDERSON, DARREN, LEE

HEAD OF ADVISORY

yes

09/2015

Sep 25, 2015

Mar 2, 2023

NAKAMURA, LARRY, TRISTON

CHIEF COMPLIANCE OFFICER

yes

02/2023

Mar 2, 2023

STIMPSON, ALEXANDER, FARNUM

Partner

yes

09/2015

Sep 25, 2015

Mar 2, 2023

HASSENPLUG, GORDON

Partner

09/2015

Sep 25, 2015

Mar 2, 2023

TENNEY, JONATHAN, PAUL

Partner

09/2015

Sep 25, 2015

Mar 2, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CI PRIVATE WEALTH, LLC

n/a

Independent wealth

$165B

yes

n/a

CORIENT VENTURES, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 31, 2022

$5.0B

$3.9B

n/a

2020

Mar 28, 2021

$3.6B

$2.6B

n/a

2019

Feb 5, 2020

$2.8B

$2.1B

n/a

2018

Mar 19, 2019

$2.3B

$1.7B

n/a

2017

Mar 15, 2018

$2.0B

$1.4B

n/a

2016

Mar 29, 2017

$1.5B

$1.1B

n/a

2015

Mar 3, 2016

$1.1B

n/a

2014

Feb 11, 2015

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

$5.0B

$3.6B

40.1%

$2.3B

29.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Corient

Mar 31, 2023

Jan 3, 2025

NEWPORT BEACH, CA

Firm absorbed

RIA to ibd

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Sep 29, 2015

Sep 25, 2015

NEWPORT BEACH, CA

Team lift out

Other

0.0%