DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Aristotle Pacific Capital, LLC
Latest filing Mar 31, 2026
First filing on the tape Aug 28, 2019 · 24 filings
SEC status approved since Sep 26, 2019
RAUM
$27B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$27B
derived; firm RAUM over IAPD count
Employees
46
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$27B as of Mar 31, 2026
Mar 30, 2020$13B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 30, 20200 then
Employees (5.A)46 as of Mar 31, 2026
Mar 30, 202036 then
Private funds6 as of Mar 31, 2026
Mar 30, 20206 then
RAUM +0.3% over the last fiscal year+9.8% a year over threeIARs 3 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $27BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $608MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 46.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $3.5B, 5 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$15B56%
- Insurance companies$5.1B19%
- Pooled investment vehicles$4.6B17%
- Corporations and businesses$1.5B5.5%
- State and municipal entities$534M2.0%
- Pension and profit-sharing plans$107M0.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 44reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.5B for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.73 institutional_share=0.22 related_bd=false related_bank=false bd_reps=9.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Evan Francis Francks | Newport Beach, Ca | Nov 25, 2025 | 14 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Evan Francis Francks from Aristotle Capital Management, LLCNov 25, 2025 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Pacific Asset Management Bank Loan L.P. | Hedge Fund | $1.7B | 65 | Jul 1, 2014 |
| Pacific Asset Management Senior Loan Fundno longer reported | Hedge Fund | $57.7M | 4 | Apr 30, 2015 |
| Pacific Asset Management Clo Opportunities Fund L.P. | Hedge Fund | $35.8M | 2 | Aug 28, 2018 |
| Apc Short Duration High Yield Fund, LP | Other Private Fund | $21.7M | 5 | Oct 30, 2024 |
Owners and control persons
Schedule A and B, latest filing
- Gustave Joseph Lallande · Owner, General Counselcontrolsince 04/2023 · owns less than 5%
- Patrick James Leasure · Owner, Senior Managing Director/Portfolio Managercontrolsince 04/2023 · owns less than 5%
- Dao Dominic Nolan · Owner, Chief Executive Officercontrolsince 04/2023 · owns less than 5%
- Elaine Carol Rumsey · Owner, Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
- Brian Joshua Schwab · Owner, Chief Financial Officer, Chief Operating Officercontrolsince 04/2023 · owns less than 5%
- Robert Charles Boyd · Owner, Senior Managing Director/Portfolio Managersince 04/2023 · owns less than 5%
- Isaac Michael Marzouk · Owner, Senior Managing Director/Portfolio Managersince 04/2023 · owns 5% to 10%
- Michael Brian Robertson · Owner, Senior Managing Director/Portfolio Managersince 04/2023 · owns less than 5%
- C David Weismiller · Owner, Senior Managing Director/Portfolio Managersince 04/2023 · owns less than 5%
Entity owners
- Aristotle Capital Management, LLC · Ownerdirect · owns 50% to 75%
- Gleicher Holdings · Owner/Managing Memberindirect · owns F of Aristotle Capital Management, LLC
- Rcb Acquisition Company LLC · Owner/Managing Memberindirect · owns 25% to 50% of Aristotle Capital Management, LLC
Related persons
Schedule D 7.A
- Apc Asset Development I, LPinvestment advisernRAUM $2.3B
- Apc Asset Development II, LPinvestment advisernRAUM $2.1B
- Apc Asset Gp I, LLCpooled vehicle sponsory
- Apc Asset Gp II, LLCpooled vehicle sponsory
- Apc Hy Bond Gp, LLCpooled vehicle sponsory
- Apc Short Duration Hy Gp, LLCpooled vehicle sponsory
- Aristotle Atlantic Partners, LLCinvestment adviserpooled vehicle sponsornRAUM $2.2B
- Aristotle Capital Boston, LLCinvestment adviserpooled vehicle sponsornRAUM $1.8B
- Aristotle Capital Management, LLCinvestment adviserpooled vehicle sponsoryRAUM $44B
- Aristotle Credit Partners, LLCinvestment adviserpooled vehicle sponsornRAUM $81.1M
- Aristotle Investment Services, LLCinvestment advisernRAUM $17B
- Metwest Fund Manager, LLCpooled vehicle sponsorn
- Metwest Realty Advisors, LLCinvestment advisern
- Pam Bank Loan Fund Gp LLCpooled vehicle sponsory
- Pam Clo Opportunities Fund Gp LLCpooled vehicle sponsory
- Saul Fund Gp, LLCpooled vehicle sponsorn
Advisers that list Aristotle Pacific Capital, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 4.0 to 6.0 (+50.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +5.0% (319 comparable advisers, 93.0th percentile of changes)peers: asset managers, $20B and over (319) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 38 to 44Feb 20, 2026 to Mar 31, 2026
- Advisory employees · 21 to 22Feb 20, 2026 to Mar 31, 2026
- BD registered reps · 7 to 9Feb 20, 2026 to Mar 31, 2026
- Pooled vehicle clients · 7 to 10Feb 20, 2026 to Mar 31, 2026
- Assets in custody · $0 to $3.5BFeb 20, 2026 to Mar 31, 2026
- Employees · 42 to 46Feb 20, 2026 to Mar 31, 2026
- State-registered IARs · 3 to 1Feb 20, 2026 to Mar 31, 2026
- Private funds · 5 to 6Feb 20, 2026 to Mar 31, 2026
- Discretionary RAUM · $27B to $27BFeb 20, 2026 to Mar 31, 2026
- Pension RAUM · $111M to $107MFeb 20, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $3.2B to $4.6BFeb 20, 2026 to Mar 31, 2026
- RAUM · $27B to $27BFeb 20, 2026 to Mar 31, 2026
- Private funds · 4 to 5May 2, 2025 to Oct 21, 2025
- Financial planning clients · unset to Mar 28, 2025 to May 2, 2025
- Accounts · 31 to 38Jan 29, 2025 to Mar 28, 2025
- Advisory employees · 25 to 21Jan 29, 2025 to Mar 28, 2025
- BD registered reps · 5 to 7Jan 29, 2025 to Mar 28, 2025
- Pooled vehicle clients · 5 to 7Jan 29, 2025 to Mar 28, 2025
- Employees · 38 to 42Jan 29, 2025 to Mar 28, 2025
- State-registered IARs · 0 to 3Jan 29, 2025 to Mar 28, 2025
- Discretionary RAUM · $22B to $27BJan 29, 2025 to Mar 28, 2025
- Pension RAUM · $63.4M to $111MJan 29, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $2.5B to $3.2BJan 29, 2025 to Mar 28, 2025
- RAUM · $22B to $27BJan 29, 2025 to Mar 28, 2025
- Private funds · 3 to 4Oct 30, 2024 to Jan 29, 2025
- Private funds · 2 to 3May 8, 2024 to Oct 30, 2024
- BD registered reps · 8 to 5Jan 26, 2024 to Mar 28, 2024
- Accounts · 35 to 31May 5, 2023 to Jan 26, 2024
- BD registered reps · 9 to 8May 5, 2023 to Jan 26, 2024
- Pooled vehicle clients · 9 to 5May 5, 2023 to Jan 26, 2024
- Assets in custody · $1.6B to $0May 5, 2023 to Jan 26, 2024
- Employees · 39 to 38May 5, 2023 to Jan 26, 2024
- Private funds · 8 to 2May 5, 2023 to Jan 26, 2024
- Discretionary RAUM · $20B to $22BMay 5, 2023 to Jan 26, 2024
- Pension RAUM · unset to 63356576.0May 5, 2023 to Jan 26, 2024
- Pooled vehicle RAUM · $4.4B to $2.5BMay 5, 2023 to Jan 26, 2024
- RAUM · $20B to $22BMay 5, 2023 to Jan 26, 2024
- BD registered reps · 6 to 9Mar 30, 2023 to May 5, 2023
- Employees · 40 to 39Mar 30, 2023 to May 5, 2023
- Related bank · true to falseMar 30, 2023 to May 5, 2023
Signals
6 dated events
- Brian Joshua Schwab (Owner, Chief Financial Officer, Chief Operating Officer) appeared on Schedule A of Aristotle Pacific Capital, LlcMay 5, 2023 · Control person joined · fact
- Patrick James Leasure (Owner, Senior Managing Director/Portfolio Manager) appeared on Schedule A of Aristotle Pacific Capital, LlcMay 5, 2023 · Control person joined · fact
- Aristotle Pacific Capital, Llc reported RAUM $18.3B, up 26% from $14.5B (2022-02-10 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Aristotle Pacific Capital, Llc reported RAUM $13.0B, up 27% from $10.3B (2020-02-27 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- D. Dominic Nolan (Senior Managing Director) appeared on Schedule A of Aristotle Pacific Capital, LlcJan 30, 2020 · Control person joined · fact
- Pacific Asset Management Llc filed its initial SEC registration (Form ADV)Aug 28, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Aristotle Pacific Capital, LLC · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/aristotlecapreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/pacificassetmanagementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- aristotlepacific.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (949) 681-2100reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $27Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026