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SYNDICATED CAPITAL, INC.
CRD 29037File 801-129421
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$142.0M
Bottom 25% of cohort (national)
Discretionary AUM
$136.9M
Non-discretionary $5.1M
Clients
465
465 accounts
Employees
12
Bottom 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Feb 5, 2024
- Principal office
- 135 S STATE COLLEGE BLVD., SUITE 200, BREA, CA, 92821
- Phone
- 310-751-7098
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $142.0M
- Discretionary AUM
- $136.9M
- Non-discretionary AUM
- $5.1M
- Discretionary accounts
- 447
- Non-discretionary accounts
- 18
- Total accounts
- 465
- AUM per client
- $305K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 27 | $62.5M |
| Individuals (other than high net worth individuals) | 438 | $79.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Other (described) — 12B1; NTF MUTAL FUND SERVICE FEES
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C4
- Q11C5
- Q11D2
- Q11D4
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 393 | 465 | increased by72 |
| Apr 1, 2026 | AUM | $122,987,781 | $141,993,039 | increased by$19,005,258 |
| Apr 1, 2026 | Accounts | 393 | 465 | increased by72 |
| May 1, 2025 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SYNDICATED CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SYNDICATED CAPITAL” 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.