Pacifica Capital Investments LLC (Leander)

Name: Pacifica Capital Investments LLC
Address: 1505 Lions Lair, Leander, TX, 78641
Telephone: 512-310-8545

Pacifica Capital Investments LLC is a large advisory firm based in Leander. It manages $316.44 million of regulatory assets for 271 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of California, Colorado, Connecticut, and 4 other states.

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

Pacifica Capital Investments: assets under management

The assets under management (AUM) of Pacifica Capital Investments LLC is $316.44 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 740% since the beginning of its operation, and $223.3 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $316.44 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.17 million each.

Pacifica Capital Investments has custody of $90.06 million in cash and securities for 13 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 61% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 24% of the firm’s portfolio. Investments in non-exchange traded securities form 14% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pacifica Capital Investments 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 Pacifica Capital Investments serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, business development companies, and pension and profit sharing plans. The largest group of clients of Pacifica Capital Investments is high net worth individuals with 116 clients and $289.98 million of assets under management. Among the 8 most similar advisory firms, Pacifica Capital Investments has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $316.44 million for 176 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Pacifica Capital Investments also advises several private funds. Namely, eleven real estate funds and two private equity funds. The minimum investment commitment required of non-related persons ranges from $50,000 to $250,000.

Careers at Pacifica Capital Investments LLC

The company employs 4 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There are 5 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates 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
Steven Charles Leonard	Managing member/ president	1 Mar 1998	75% - 100%	4648069
Andre Stephan Carpiac	Chief compliance officer	1 Jan 2007	Other	5313843
Kari Nadine Pemberton	Chief compliance officer and chief investment officer	1 Mar 2014	Other	5650086

Based in Leander

The principal office where Pacifica Capital Investments LLC performs its advisory services is located at 1505 Lions Lair, Leander, TX 78641 The mailing address of the firm is 3550 Lakeline Blvd., Leander, TX 78641. An additional office of the firm is in Santa Barbara, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 512-310-8545 or by fax 888-302-3545. The normal business hours are 8:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at pacificacapital.net.