Firm profile

Freeman Spogli

LOS ANGELES, CACRD 156819Registration Status: ApprovedEffective since March 30, 2012SEC # 801-73816Latest ADV March 31, 2026

Freeman Spogli is an SEC registered investment adviser organized as a limited partnership with a primary office location in Los Angeles, CA. Its latest Form ADV filing, dated March 31, 2026, reports $6.2B in regulatory assets under management, 35 employees, 2 offices, and 7 accounts.

Assets Under Management
$6.2B
Employees
35
Offices
2 offices
Total Clients
7

Associated firm names

7 names listed
  • FREEMAN SPOGLI
  • FS CAPITAL PARTNERS, LLC (A RELYING ADVISER)
  • FS CAPITAL PARTNERS VI, LLC (A RELYING ADVISER)
  • FS CAPITAL PARTNERS V, LLC (A RELYING ADVISER)

Leadership

4 roles identified
CEOJohn M. Roth
CCOXavier E. Corzo
CFOXavier E. Corzo

Advisory services offered

1 types reported
Portfolio management for pooled investment vehicles

Fee models offered

2 types reported
Asset based fees
Other fee arrangements

Offices & Contact

Primary office

LOS ANGELES, California, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

California

LOS ANGELESPrimary office

New York

NEW YORK

2 office records listed · 2 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$6.2Bas of March 31, 2026
Discretionary100.0%
$6.2B
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentPooled Investment Vehicles represent 100.0% of total clients.
Top client categories% of clientsClients
1
Pooled Investment Vehicles
100.0%
7

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$6.2B
Total Accounts7
10Y AUM Change+$3.7B (+149.4%)

Private Funds

Private funds reported by Freeman Spogli

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees35
Clients per Employee0:1
10Y Employee Change+16 (+84.2%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
BRAD JOSEPH BRUTOCAODirect owner · Schedule AInterest in FREEMAN SPOGLI
10% to < 25%
BENJAMIN DAVID GEIGERDirect owner · Schedule AInterest in FREEMAN SPOGLI
10% to < 25%
JON DAVID RALPHDirect owner · Schedule AInterest in FREEMAN SPOGLI
10% to < 25%
JOHN MICHAEL ROTHDirect owner · Schedule AInterest in FREEMAN SPOGLI
10% to < 25%
RONALD PAUL SPOGLIDirect owner · Schedule AInterest in FREEMAN SPOGLI
10% to < 25%
JOHN HWANGDirect owner · Schedule AInterest in FREEMAN SPOGLI
5% to < 10%
CHRISTIAN BENGT JOHNSONDirect owner · Schedule AInterest in FREEMAN SPOGLI
5% to < 10%
FREEMAN SPOGLI MANAGEMENT CO. LLCDirect owner · Schedule AInterest in FREEMAN SPOGLI
< 5%
JORDAN ANTHONY HATHAWAYDirect owner · Schedule AInterest in FREEMAN SPOGLI
< 5%
SHANNON APRIL FOOTEDirect owner · Schedule AInterest in FREEMAN SPOGLI
< 5%
SHAUN ANDREW CAESARDirect owner · Schedule AInterest in FREEMAN SPOGLI
< 5%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Freeman Spogli.

Reported ownership and control details

Form ADV · Filing date 2026-03-31 · Schedules A and B

21 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1BRAD JOSEPH BRUTOCAOLIMITED PARTNERIndividualFREEMAN SPOGLI10% to less than 25%Code BNoLIMITED PARTNER09/2008Schedule APDF page 55
2BENJAMIN DAVID GEIGERLIMITED PARTNERIndividualFREEMAN SPOGLI10% to less than 25%Code BNoLIMITED PARTNER09/2008Schedule APDF page 55
3JON DAVID RALPHPRESIDENT, CHIEF OPERATING OFFICER AND LIMITED PARTNERIndividualFREEMAN SPOGLI10% to less than 25%Code BNoPRESIDENT, CHIEF OPERATING OFFICER AND LIMITED PARTNER09/2008Schedule APDF page 55
4JOHN MICHAEL ROTHCHIEF EXECUTIVE OFFICER AND LIMITED PARTNERIndividualFREEMAN SPOGLI10% to less than 25%Code BYesCHIEF EXECUTIVE OFFICER AND LIMITED PARTNER09/2008Schedule APDF page 55
5RONALD PAUL SPOGLICHAIRMAN AND LIMITED PARTNERIndividualFREEMAN SPOGLI10% to less than 25%Code BYesCHAIRMAN AND LIMITED PARTNER03/2024Schedule APDF page 56
6FREEMAN SPOGLI MANAGEMENT CO. LLCGENERAL PARTNERDomestic entityFREEMAN SPOGLILess than 5%Code NAYesGENERAL PARTNER09/2008Schedule APDF page 56
7JOHN HWANGLIMITED PARTNERIndividualFREEMAN SPOGLI5% to less than 10%Code ANoLIMITED PARTNER01/2016Schedule APDF page 56
8CHRISTIAN BENGT JOHNSONLIMITED PARTNERIndividualFREEMAN SPOGLI5% to less than 10%Code ANoLIMITED PARTNER01/2016Schedule APDF page 56
9JORDAN ANTHONY HATHAWAYLIMITED PARTNERIndividualFREEMAN SPOGLILess than 5%Code NANoLIMITED PARTNER03/2019Schedule APDF page 56
10SHANNON APRIL FOOTELIMITED PARTNERIndividualFREEMAN SPOGLILess than 5%Code NANoLIMITED PARTNER05/2025Schedule APDF page 56
11SHAUN ANDREW CAESARLIMITED PARTNERIndividualFREEMAN SPOGLILess than 5%Code NANoLIMITED PARTNER05/2025Schedule APDF page 56
12XAVIER EDUARDO CORZOCHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICERIndividualFREEMAN SPOGLILess than 5%Code NAYesCHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER09/2025Schedule APDF page 56
13BRAD JOSEPH BRUTOCAOMANAGING MEMBERIndividualFREEMAN SPOGLI MANAGEMENT CO. LLCPercentage not specifiedCode FYesMANAGING MEMBER09/2008Schedule BPDF page 56
14BENJAMIN DAVID GEIGERMANAGING MEMBERIndividualFREEMAN SPOGLI MANAGEMENT CO. LLCPercentage not specifiedCode FYesMANAGING MEMBER09/2008Schedule BPDF page 56
15JOHN MICHAEL ROTHMANAGING MEMBERIndividualFREEMAN SPOGLI MANAGEMENT CO. LLCPercentage not specifiedCode FYesMANAGING MEMBER09/2008Schedule BPDF page 56
16RONALD PAUL SPOGLIMANAGING MEMBERIndividualFREEMAN SPOGLI MANAGEMENT CO. LLCPercentage not specifiedCode FYesMANAGING MEMBER01/2009Schedule BPDF page 56
17CHRISTIAN BENGT JOHNSONMANAGING MEMBERIndividualFREEMAN SPOGLI MANAGEMENT CO. LLCPercentage not specifiedCode FYesMANAGING MEMBER01/2016Schedule BPDF page 56
18JOHN HWANGMANAGING MEMBERIndividualFREEMAN SPOGLI MANAGEMENT CO. LLCPercentage not specifiedCode FYesMANAGING MEMBER01/2016Schedule BPDF page 56
19JORDAN ANTHONY HATHAWAYMANAGING MEMBERIndividualFREEMAN SPOGLI MANAGEMENT CO. LLCPercentage not specifiedCode FYesMANAGING MEMBER03/2019Schedule BPDF page 56
20SHANNON APRIL FOOTEMANAGING MEMBERIndividualFREEMAN SPOGLI MANAGEMENT CO. LLCPercentage not specifiedCode FYesMANAGING MEMBER05/2025Schedule BPDF page 56
21SHAUN ANDREW CAESARMANAGING MEMBERIndividualFREEMAN SPOGLI MANAGEMENT CO. LLCPercentage not specifiedCode FYesMANAGING MEMBER05/2025Schedule BPDF page 57

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 3/31/2026 12:51:50 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.