Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Avanath Capital Management, LLC
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
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%
AVANATH CO-INVEST V, LLCDirect owner · Schedule AInterest in AVANATH CAPITAL MANAGEMENT, LLC
75%+
AVANATH HOLDINGS II, LLCDirect owner · Schedule AInterest in AVANATH CAPITAL MANAGEMENT, LLC
50% to < 75%
AVANATH EMPLOYEE CO-INVEST IV, LLCDirect owner · Schedule AInterest in AVANATH CAPITAL MANAGEMENT, LLC
50% to < 75%
AVANATH CO-INVEST III, LLCDirect owner · Schedule AInterest in AVANATH CAPITAL MANAGEMENT, LLC
25% to < 50%
AVANATH INVESTOR CO-INVEST IV, LLCDirect owner · Schedule AInterest in AVANATH CAPITAL MANAGEMENT, LLC
25% to < 50%
AVANATH CAPITAL HOLDINGS, LLCDirect owner · Schedule AInterest in AVANATH CAPITAL MANAGEMENT, LLC
< 5%
DONALD SAMPSON GRANT AS TRUSTEE OF THE D. AND S. GRANT REVOCABLE TRUSTIndirect owner · Schedule BInterest in GRANT MANAGEMENT, LLC
75%+
DARYL JEROME CARTER AS TRUSTEE OF THE DARYL J. CARTER SEPARATE PROPERTY TRUSTIndirect owner · Schedule BInterest in DJC AVANATH HOLDINGS, LLC
75%+
SRG MIRAMARIndirect owner · Schedule BInterest in AVANATH INVESTOR CO-INVEST IV, LLC
25% to < 50%
PACIFIC LAND & INVESTMENT COMPANYIndirect owner · Schedule BInterest in AVANATH INVESTOR CO-INVEST IV, LLC
25% to < 50%
GRANT HOLDINGS, LPIndirect owner · Schedule BInterest in PACIFIC LAND & INVESTMENT COMPANY
25% to < 50%
DARYL JEROME CARTER AS TRUSTEE OF THE DARYL J. CARTER SEPARATE PROPERTY TRUSTIndirect owner · Schedule BInterest in AVANATH EMPLOYEE CO-INVEST IV, LLC
25% to < 50%
GEOFFREY LAWRENCE STACK AS TRUSTEE OF THE STACK REVOCABLE TRUSTIndirect owner · Schedule BInterest in SRG MIRAMAR
25% to < 50%
JOHN STEWART HAGESTAD AS TRUSTEE OF THE J/M HAGESTAD FAMILY TRUSTIndirect owner · Schedule BInterest in SRG MIRAMAR
25% to < 50%
DOUGLAS CAMERON NEFF AS TRUSTEE OF THE DOUGLAS AND DONNA NEFF FAMILY TRUSTIndirect owner · Schedule BInterest in PACIFIC LAND & INVESTMENT COMPANY
25% to < 50%
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 Avanath Capital Management, LLC.
Reported ownership and control details
Form ADV · Filing date 2026-04-28 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | JUN NMN SAKUMOTOCHIEF COMPLIANCE OFFICERIndividual | AVANATH CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER01/2021 | Schedule APDF page 69 |
| 2 | DARYL JEROME CARTERCHAIRMAN AND CHIEF EXECUTIVE OFFICERIndividual | AVANATH CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | CHAIRMAN AND CHIEF EXECUTIVE OFFICER06/2008 | Schedule APDF page 70 |
| 3 | JOHN RAYMOND WILLIAMSPRESIDENT AND COOIndividual | AVANATH CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | PRESIDENT AND COO06/2012 | Schedule APDF page 70 |
| 4 | AVANATH CO-INVEST III, LLCNON-MANAGING MEMBERDomestic entity | AVANATH CAPITAL MANAGEMENT, LLC | 25% to less than 50%Code C | Yes | NON-MANAGING MEMBER05/2016 | Schedule APDF page 70 |
| 5 | AVANATH HOLDINGS II, LLCMANAGING MEMBERDomestic entity | AVANATH CAPITAL MANAGEMENT, LLC | 50% to less than 75%Code D | Yes | MANAGING MEMBER03/2016 | Schedule APDF page 70 |
| 6 | AVANATH EMPLOYEE CO-INVEST IV, LLCNON-MANAGING MEMBERDomestic entity | AVANATH CAPITAL MANAGEMENT, LLC | 50% to less than 75%Code D | Yes | NON-MANAGING MEMBER10/2019 | Schedule APDF page 70 |
| 7 | AVANATH INVESTOR CO-INVEST IV, LLCNON-MANAGING MEMBERDomestic entity | AVANATH CAPITAL MANAGEMENT, LLC | 25% to less than 50%Code C | Yes | NON-MANAGING MEMBER10/2019 | Schedule APDF page 70 |
| 8 | AVANATH CO-INVEST V, LLCNON-MANAGING MEMBERDomestic entity | AVANATH CAPITAL MANAGEMENT, LLC | 75% or moreCode E | Yes | NON-MANAGING MEMBER12/2021 | Schedule APDF page 70 |
| 9 | AVANATH CAPITAL HOLDINGS, LLCMANAGING MEMBERDomestic entity | AVANATH CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | MANAGING MEMBER12/2021 | Schedule APDF page 70 |
| 10 | ROBERT WESLEY WILSONCHIEF INVESTMENT OFFICERIndividual | AVANATH CAPITAL MANAGEMENT, LLC | Less than 5%Code NA | Yes | CHIEF INVESTMENT OFFICER12/2018 | Schedule APDF page 70 |
| 11 | SRG MIRAMARNON- MANAGING MEMBERDomestic entity | AVANATH INVESTOR CO-INVEST IV, LLC | 25% to less than 50%Code C | Yes | NON- MANAGING MEMBER11/2019 | Schedule BPDF page 70 |
| 12 | PACIFIC LAND & INVESTMENT COMPANYNON- MANAGING MEMBERDomestic entity | AVANATH INVESTOR CO-INVEST IV, LLC | 25% to less than 50%Code C | Yes | NON- MANAGING MEMBER11/2019 | Schedule BPDF page 70 |
| 13 | AVANATH HOLDINGS II, LLCMANAGING MEMBERDomestic entity | AVANATH CO-INVEST III, LLC | Percentage not specifiedCode F | Yes | MANAGING MEMBER04/2016 | Schedule BPDF page 70 |
| 14 | AVANATH CAPITAL HOLDINGS, LLCMANAGING MEMBERDomestic entity | AVANATH CO-INVEST V, LLC | Percentage not specifiedCode F | Yes | MANAGING MEMBER12/2021 | Schedule BPDF page 70 |
| 15 | AVANATH HOLDINGS II, LLCMANAGING MEMBERDomestic entity | AVANATH INVESTOR CO-INVEST IV, LLC | Percentage not specifiedCode F | Yes | MANAGING MEMBER11/2019 | Schedule BPDF page 70 |
| 16 | DJC AVANATH HOLDINGS, LLCMANAGING MEMBERDomestic entity | AVANATH EMPLOYEE CO-INVEST IV, LLC | Percentage not specifiedCode F | Yes | MANAGING MEMBER10/2019 | Schedule BPDF page 70 |
| 17 | GRANT HOLDINGS, LPMANAGING MEMBERDomestic entity | PACIFIC LAND & INVESTMENT COMPANY | 25% to less than 50%Code C | Yes | MANAGING MEMBER12/2019 | Schedule BPDF page 70 |
| 18 | GRANT MANAGEMENT, LLCGENERAL PARTNERDomestic entity | GRANT HOLDINGS, LP | Percentage not specifiedCode F | Yes | GENERAL PARTNER08/2019 | Schedule BPDF page 70 |
| 19 | DARYL JEROME CARTER AS TRUSTEE OF THE DARYL J. CARTER SEPARATE PROPERTY TRUSTNON- MANAGING MEMBERDomestic entity | AVANATH EMPLOYEE CO-INVEST IV, LLC | 25% to less than 50%Code C | Yes | NON- MANAGING MEMBER10/2019 | Schedule BPDF page 70 |
| 20 | DARYL JEROME CARTERTRUSTEEIndividual | DARYL JEROME CARTER AS TRUSTEE OF THE DARYL J. CARTER SEPARATE PROPERTY TRUST | Percentage not specifiedCode F | Yes | TRUSTEE04/2019 | Schedule BPDF page 71 |
| 21 | GEOFFREY LAWRENCE STACK AS TRUSTEE OF THE STACK REVOCABLE TRUSTPARTNERDomestic entity | SRG MIRAMAR | 25% to less than 50%Code C | Yes | PARTNER06/2001 | Schedule BPDF page 71 |
| 22 | GEOFFREY LAWRENCE STACKTRUSTEEIndividual | GEOFFREY LAWRENCE STACK AS TRUSTEE OF THE STACK REVOCABLE TRUST | Percentage not specifiedCode F | Yes | TRUSTEE06/2001 | Schedule BPDF page 71 |
| 23 | JOHN STEWART HAGESTAD AS TRUSTEE OF THE J/M HAGESTAD FAMILY TRUSTPARTNERDomestic entity | SRG MIRAMAR | 25% to less than 50%Code C | Yes | PARTNER06/2001 | Schedule BPDF page 71 |
| 24 | JOHN STEWART HAGESTADTRUSTEEIndividual | JOHN STEWART HAGESTAD AS TRUSTEE OF THE J/M HAGESTAD FAMILY TRUST | Percentage not specifiedCode F | Yes | TRUSTEE06/2001 | Schedule BPDF page 71 |
| 25 | DOUGLAS CAMERON NEFF AS TRUSTEE OF THE DOUGLAS AND DONNA NEFF FAMILY TRUSTMANAGING MEMBERDomestic entity | PACIFIC LAND & INVESTMENT COMPANY | 25% to less than 50%Code C | Yes | MANAGING MEMBER01/2007 | Schedule BPDF page 71 |
| 26 | DOUGLAS CAMERON NEFFTRUSTEEIndividual | DOUGLAS CAMERON NEFF AS TRUSTEE OF THE DOUGLAS AND DONNA NEFF FAMILY TRUST | Percentage not specifiedCode F | Yes | TRUSTEE01/2007 | Schedule BPDF page 71 |
| 27 | DONALD SAMPSON GRANT AS TRUSTEE OF THE D. AND S. GRANT REVOCABLE TRUSTSOLE MEMBERDomestic entity | GRANT MANAGEMENT, LLC | 75% or moreCode E | Yes | SOLE MEMBER08/2019 | Schedule BPDF page 71 |
| 28 | DONALD SAMPSON GRANTTRUSTEEIndividual | DONALD SAMPSON GRANT AS TRUSTEE OF THE D. AND S. GRANT REVOCABLE TRUST | Percentage not specifiedCode F | Yes | TRUSTEE08/2019 | Schedule BPDF page 71 |
| 29 | DARYL JEROME CARTER AS TRUSTEE OF THE DARYL J. CARTER SEPARATE PROPERTY TRUSTSOLE MEMBERDomestic entity | DJC AVANATH HOLDINGS, LLC | 75% or moreCode E | Yes | SOLE MEMBER10/2019 | Schedule BPDF page 71 |
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 4/28/2026 2:13:22 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.