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DANIEL INVESTMENT ASSOCIATES, LLC
CRD 157284File 801-77862
APPROVED
Retail clients
Disclosure events
Filing as of Mar 18, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$225.3M
Below cohort median (national)
Discretionary AUM
$204K
Non-discretionary $225.0M
Clients
33
33 accounts
Employees
1
Below cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Apr 2, 2013
- Principal office
- 923 SAINT VINCENT AVENUE, SUITE B, SANTA BARBARA, CA, 93101
- Phone
- 805-845-7724
- Website
- https://www.diasocal.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $225.3M
- Discretionary AUM
- $204K
- Non-discretionary AUM
- $225.0M
- Discretionary accounts
- 1
- Non-discretionary accounts
- 32
- Total accounts
- 33
- AUM per client
- $6.8M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | 5 | $39.8M |
| High net worth individuals | 28 | $185.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11C1
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 35 | 33 | decreased by2 |
| Apr 1, 2026 | AUM | $220,524,940 | $225,253,116 | increased by$4,728,176 |
| Apr 1, 2026 | Accounts | 35 | 33 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 2 | 1 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 23 | 35 | increased by12 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $178,046,146 | $220,524,940 | increased by$42,478,794 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 26 | 35 | increased by9 |
| Apr 1, 2022 | Employees | 1 | 2 | increased by1 |
| Apr 1, 2022 | Clients | 20 | 23 | increased by3 |
| Apr 1, 2022 | AUM | $155,931,053 | $178,046,146 | increased by$22,115,093 |
| Apr 1, 2022 | Accounts | 23 | 26 | increased by3 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “DANIEL INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“DANIEL INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.