SORRENTO PACIFIC FINANCIAL, LLC
Latest filing: May 27, 2025 (200 days ago)
AUM
$222,328,734
15% change vs. 1 year ago
20% change vs. 3 years ago
195% change vs. 5 years ago
372% change vs. 10 years ago
Employee Count
248
-3% change vs. 1 year ago
226% change vs. 3 years ago
138% change vs. 5 years ago
192% change vs. 10 years ago
Main Office
SAN DIEGO, CA
10150 MEANLEY DRIVE, SAN DIEGO, CA, UNITED STATES, 92131
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.1 |
| Non-Discretionary | $0.1 |
| Total | $0.2 |
| Client | AUM |
|---|---|
| Retail | $0.2 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 720 | $0.2 |
| Average Individual AUM | $219,881 | |
| HNW | 33 | $0.1 |
| Average HNW AUM | $1,793,112 | |
| Retail Total | 753 | $0.2 |
| Average Retail AUM | $288,828 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| PERSHING LLC | JERSEY CITY-NJ-USA | $0.1 |
| SEI PRIVATE TRUST COMPANY | OAKS-PA-USA | $0.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.2 |
| Retail SMA AUM | $0.2 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 15% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 1% | $0.0 |
| Municipal | 1% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 1% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 79% | $0.2 |
| Other Pools | 0% | $0.0 |
| Cash | 3% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| CADARET, GRANT & CO., INC. | $7.7 | broker-dealer | 10641 |
| CUSO FINANCIAL SERVICES, L.P. | $5.4 | broker-dealer | 42132 |
| NEXT FINANCIAL GROUP, INC. | $3.8 | broker-dealer | 46214 |
| WESTERN INTERNATIONAL SECURITIES, INC. | $3.5 | broker-dealer | 39262 |
| GROVE POINT ADVISORS, LLC | $2.5 | 313171 | |
| SCF INVESTMENT ADVISORS, INC. | $1.3 | 123608 | |
| GROVE POINT INVESTMENTS, LLC | $0.0 | broker-dealer | 1763 |
| NEXT FINANCIAL INSURANCE SERVICES COMPANY | $0.0 | - | |
| SCF SECURITIES, INC. | $0.0 | broker-dealer | 47275 |
| CFS INSURANCE AND TECHNOLOGY SERVICES, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
16 active
| Name | Title |
|---|---|
| HORWITH, THEODORE ROBERT | CHIEF FINANCIAL OFFICER, FINOP |
| KETTERER, DOUGLAS JOHN | MANAGER |
| BEARD, KEVIN LAWRENCE | MANAGER |
| MUMMAU, KEVIN SCOTT | PRESIDENT |
| LEGACY, ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER |
| WHITE, LAURA NICOLE | ADVISORY CHIEF COMPLIANCE OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
18 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| WENDI DRENNON | SAN DIEGO | CA | S63|1993-03-26|S65|2004-04-01 | ||||||
| JAMES GIORDANO | SAN DIEGO | CA | S66|2013-05-06 | ||||||
| ETHAN TRICHE | SAN DIEGO | CA | S65|2019-04-23 | ||||||
| MICHAEL PUGLIESE | SAN DIEGO | CA | S63|1986-12-30|S65|1998-03-30 | ||||||
| GEORGE ELIAS | SAN DIEGO | CA | S66|2008-06-20 | ||||||
| JOE HAYWOOD | SAN DIEGO | CA | S63|1999-01-08|S66|2000-07-18 | ||||||
| KIMBERLY MARTIN | SAN DIEGO | CA | S63|2001-07-06|S65|2010-05-17 | ||||||
| KATHRYN HOOPER | SAN DIEGO | CA | S63|1999-01-20|S66|2010-08-04 | ||||||
| MICHAEL ALEF | SAN DIEGO | CA | S63|2001-04-02|S65|2007-07-12 | ||||||
| FRANK SMITH | SAN DIEGO | CA | S65|2016-07-19|S63|2016-03-22 | ||||||
| SHANNON IRWIN | SAN DIEGO | CA | S63|1994-07-07|S65|2001-03-16 | ||||||
| EDWARD MONTAGNA | SAN DIEGO | CA | S63|1992-06-22|S65|1993-04-07 | ||||||
| ADAM NIETO | SAN DIEGO | CA | S63|1992-05-12|S66|2006-06-29 | ||||||
| MICHAEL SCHWENKER | SAN DIEGO | CA | S63|1994-07-12 | ||||||
| CRAIG LAYMAN | SAN DIEGO | CA | S63|1985-09-13 | CERTIFIED FINANCIAL PLANNER | |||||
| PATRICK OWENS | SAN DIEGO | CA | S65|2020-03-16|S63|2023-05-19 | ||||||
| ANDREY LETUSHKO | SAN DIEGO | CA | S63|2001-03-14|S66|2002-09-03 | ||||||
| CHRISTINE BERBERICH | SAN DIEGO | CA | S63|1994-08-16|S65|1998-09-18 | CERTIFIED FINANCIAL PLANNER | |||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $0.2 | $0.0 | 0% | 248 | 0 | 0% |
| 2025-04-21 | $0.2 | $0.0 | 0% | 248 | 0 | 0% |
| 2024-04-02 | $0.2 | $0.0 | 15% | 256 | -8 | -3% |
| 2023-04-04 | $0.2 | $0.0 | 29% | 198 | 50 | 25% |
| 2022-04-01 | $0.2 | $0.0 | 20% | 76 | 172 | 226% |
| 2021-04-05 | $0.1 | $0.1 | 67% | 81 | 167 | 206% |
| 2020-04-01 | $0.1 | $0.1 | 195% | 104 | 144 | 138% |
| 2019-04-01 | $0.1 | $0.1 | 195% | 104 | 144 | 138% |
| 2018-04-02 | $0.0 | $0.2 | 345% | 106 | 142 | 134% |
| 2017-04-01 | $0.1 | $0.2 | 278% | 107 | 141 | 132% |
| 2016-04-01 | $0.1 | $0.2 | 230% | 123 | 125 | 102% |
| 2015-04-01 | $0.0 | $0.2 | 372% | 85 | 163 | 192% |
| 2014-04-01 | $0.1 | $0.2 | 342% | 129 | 119 | 92% |
| 2013-04-01 | $0.0 | $0.2 | 662% | 141 | 107 | 76% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CA, AK-07/19/2017, AL-09/21/2009, AR-07/19/2017, AZ-02/08/2013, CA-12/14/2004, CO-02/03/2016, CT-02/08/2013, DC-07/19/2017, DE-07/19/2017, FL-08/04/2009, GA-07/19/2017, HI-02/08/2013, IA-07/15/2009, ID-07/19/2017, IL-07/15/2009, IN-07/19/2017, KS-07/19/2017, KY-07/19/2017, LA-07/15/2009, MA-02/08/2013, MD-08/03/2009, ME-07/15/2009, MI-02/09/2010, MN-02/08/2013, MO-02/08/2013, MS-08/03/2009, MT-02/08/2013, NC-02/08/2013, ND-07/19/2017, NE-07/15/2009, NH-07/19/2017, NJ-09/14/2009, NM-08/03/2009, NV-07/19/2017, NY-02/08/2013, OH-07/19/2017, OK-08/03/2009, OR-02/08/2013, PA-07/15/2009, PR-07/19/2017, RI-07/19/2017, SC-08/03/2009, SD-07/19/2017, TN-07/15/2009, TX-07/19/2017, UT-07/19/2017, VA-08/03/2009, VI-07/19/2017, VT-07/19/2017, WA-07/19/2017, WI-07/15/2009, WV-07/19/2017, WY-07/05/2017 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION |
| OTHER ACTIVITIES |
|
BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV