Sunrise Capital Partners LLC (Carlsbad)

Name: Sunrise Capital Partners LLC
Address: 1000 Aviara Parkway, Carlsbad, CA, 92011
Telephone: 858-259-8911

Sunrise Capital Partners LLC is an investment adviser to an investment company based in Carlsbad. It manages $97.17 million of regulatory assets for 26 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of California.

Sunrise Capital Partners provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Sunrise Capital Partners: assets under management

The assets under management (AUM) of Sunrise Capital Partners LLC is $97.17 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -74% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $97.17 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.74 million each.

Sunrise Capital Partners has custody of $31.5 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sunrise Capital Partners LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Sunrise Capital Partners serves?

The firm provides services to individuals, investment companies, and pooled investment vehicles. The largest group of clients of Sunrise Capital Partners is investment companies with 1 clients and $45 million of assets under management. Among the 9 most similar advisory firms, Sunrise Capital Partners has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $93.88 million for 25 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Sunrise Capital Partners doesn't advise any private funds.

Careers at Sunrise Capital Partners LLC

The company employs 7 people that are either part- or full-time employees. 71 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Marie Laufik	Director of trading	1 Aug 1988	Other	2197117
Martin Ehrlich	Director of marketing	1 Oct 1991	Other	1533942
Inc. Commodity Monitors	Shareholder	1 Jan 1995	75% - 100%	95-3177242
Gary Bernard Davis	Partner / chief investment officer	1 Jan 1995	25% - 50%	6033374
Inc. Sunrise Capital Management	Shareholder	1 Jan 1995	25% - 50%	95-3846661
Richard Curtis Slaughter	Chief research officer, portfolio manager	1 Feb 1995	Other	857818
Gary Steven Hirschfeld	Coo/cco	1 Jul 1999	Other	1606786
Inc. Trc Greenwich	Shareholder	1 Apr 2004	Other	06-1362167
Jason Scott Gerlach	Chief executive officer, managing partner	1 May 2008	Other	6033375
Matthew Christopher Waz	Director of institutional sales	1 Jul 2010	Other	4546856
Christopher Arthur Stanton	Chief investment officer, portfolio manager	1 Jan 2012	Other	6034464
Ssg Investment Holdings Llc	Owner	1 May 2015	75% - 100%	47-4042342
Jarod Charles Winters	Chief compliance officer	1 Oct 2015	Other	4539244

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Richard Curtis Slaughter	Shareholder	1 Oct 1977	50% - 75%	857818
John Forrest	Shareholder	1 Oct 1977	50% - 75%	2691756
Gary Bernard Davis	Trustee of davis family trust	1 Oct 1989	75% - 100%	6033374
Richard Curtis Slaughter	Member	1 May 2015	25% - 50%	857818
Jason Scott Gerlach	Member	1 May 2015	25% - 50%	6033375
Christopher Arthur Stanton	Member	1 May 2015	25% - 50%	6034464

Based in Carlsbad

The principal office where Sunrise Capital Partners LLC performs its advisory services is located at 1000 Aviara Parkway, Carlsbad, CA 92011, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 858-259-8911 or by fax 858-259-7645. The normal business hours are 5 am to 5 pm on Monday - Friday. You can find more information about the New York firm at sunrisecapital.com and its LinkedIn profile.