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 Aristotle Pacific Capital, 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%
ARISTOTLE CAPITAL MANAGEMENT, LLCDirect owner · Schedule AInterest in ARISTOTLE PACIFIC CAPITAL, LLC
50% to < 75%
DOMINIC DAO NOLANDirect owner · Schedule AInterest in ARISTOTLE PACIFIC CAPITAL, LLC
5% to < 10%
MICHAEL ISAAC MARZOUKDirect owner · Schedule AInterest in ARISTOTLE PACIFIC CAPITAL, LLC
5% to < 10%
CAROL ELAINE RUMSEYDirect owner · Schedule AInterest in ARISTOTLE PACIFIC CAPITAL, LLC
< 5%
JOSEPH GUSTAVE LALLANDEDirect owner · Schedule AInterest in ARISTOTLE PACIFIC CAPITAL, LLC
< 5%
Joshua Brian SchwabDirect owner · Schedule AInterest in ARISTOTLE PACIFIC CAPITAL, LLC
< 5%
JAMES PATRICK LEASUREDirect owner · Schedule AInterest in ARISTOTLE PACIFIC CAPITAL, LLC
< 5%
CHARLES ROBERT BOYDDirect owner · Schedule AInterest in ARISTOTLE PACIFIC CAPITAL, LLC
< 5%
BRIAN MICHAEL ROBERTSONDirect owner · Schedule AInterest in ARISTOTLE PACIFIC CAPITAL, LLC
< 5%
DAVID C WEISMILLERDirect owner · Schedule AInterest in ARISTOTLE PACIFIC CAPITAL, LLC
< 5%
HOWARD ROY GLEICHERIndirect owner · Schedule BInterest in GLEICHER HOLDINGS, LLC
75%+
RICHARD HOLLANDER AND JACQUELINE HOLLANDER TTEE OF THE HOLLANDER FAMILY TRUST DTD 12/28/88Indirect owner · Schedule BInterest in METWEST VENTURES, LLC
75%+
RCB ACQUISITION COMPANY LLCIndirect owner · Schedule BInterest in ARISTOTLE CAPITAL MANAGEMENT, LLC
25% to < 50%
METWEST VENTURES, LLCIndirect owner · Schedule BInterest in RCB ACQUISITION COMPANY LLC
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 Aristotle Pacific Capital, LLC.
Reported ownership and control details
Form ADV · Filing date 2026-03-31 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | CAROL ELAINE RUMSEYOWNER, CHIEF COMPLIANCE OFFICERIndividual | ARISTOTLE PACIFIC CAPITAL, LLC | Less than 5%Code NA | Yes | OWNER, CHIEF COMPLIANCE OFFICER04/2023 | Schedule APDF page 66 |
| 2 | JOSEPH GUSTAVE LALLANDEOWNER, GENERAL COUNSELIndividual | ARISTOTLE PACIFIC CAPITAL, LLC | Less than 5%Code NA | Yes | OWNER, GENERAL COUNSEL04/2023 | Schedule APDF page 66 |
| 3 | DOMINIC DAO NOLANOWNER, CHIEF EXECUTIVE OFFICERIndividual | ARISTOTLE PACIFIC CAPITAL, LLC | 5% to less than 10%Code A | Yes | OWNER, CHIEF EXECUTIVE OFFICER04/2023 | Schedule APDF page 66 |
| 4 | ARISTOTLE CAPITAL MANAGEMENT, LLCOWNERDomestic entity | ARISTOTLE PACIFIC CAPITAL, LLC | 50% to less than 75%Code D | Yes | OWNER04/2023 | Schedule APDF page 66 |
| 5 | Joshua Brian SchwabOWNER, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICERIndividual | ARISTOTLE PACIFIC CAPITAL, LLC | Less than 5%Code NA | Yes | OWNER, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER04/2023 | Schedule APDF page 66 |
| 6 | JAMES PATRICK LEASUREOWNER, SENIOR MANAGING DIRECTORIndividual | ARISTOTLE PACIFIC CAPITAL, LLC | Less than 5%Code NA | Yes | OWNER, SENIOR MANAGING DIRECTOR04/2023 | Schedule APDF page 67 |
| 7 | MICHAEL ISAAC MARZOUKOWNER, SENIOR MANAGING DIRECTOR/PORTFOLIO MANAGERIndividual | ARISTOTLE PACIFIC CAPITAL, LLC | 5% to less than 10%Code A | No | OWNER, SENIOR MANAGING DIRECTOR/PORTFOLIO MANAGER04/2023 | Schedule APDF page 67 |
| 8 | CHARLES ROBERT BOYDOWNER, SENIOR MANAGING DIRECTOR/PORTFOLIO MANAGERIndividual | ARISTOTLE PACIFIC CAPITAL, LLC | Less than 5%Code NA | No | OWNER, SENIOR MANAGING DIRECTOR/PORTFOLIO MANAGER04/2023 | Schedule APDF page 67 |
| 9 | BRIAN MICHAEL ROBERTSONOWNER, SENIOR MANAGING DIRECTOR/PORTFOLIO MANAGERIndividual | ARISTOTLE PACIFIC CAPITAL, LLC | Less than 5%Code NA | No | OWNER, SENIOR MANAGING DIRECTOR/PORTFOLIO MANAGER04/2023 | Schedule APDF page 67 |
| 10 | DAVID C WEISMILLEROWNER, SENIOR MANAGING DIRECTOR/PORTFOLIO MANAGERIndividual | ARISTOTLE PACIFIC CAPITAL, LLC | Less than 5%Code NA | No | OWNER, SENIOR MANAGING DIRECTOR/PORTFOLIO MANAGER04/2023 | Schedule APDF page 67 |
| 11 | RCB ACQUISITION COMPANY LLCOWNER/MANAGING MEMBERDomestic entity | ARISTOTLE CAPITAL MANAGEMENT, LLC | 25% to less than 50%Code C | Yes | OWNER/MANAGING MEMBER07/2011 | Schedule BPDF page 67 |
| 12 | GLEICHER HOLDINGS, LLCOWNER/MANAGING MEMBERDomestic entity | ARISTOTLE CAPITAL MANAGEMENT, LLC | Percentage not specifiedCode F | Yes | OWNER/MANAGING MEMBER12/2012 | Schedule BPDF page 67 |
| 13 | HOWARD ROY GLEICHEROWNER/MEMBERIndividual | GLEICHER HOLDINGS, LLC | 75% or moreCode E | Yes | OWNER/MEMBER07/2011 | Schedule BPDF page 67 |
| 14 | METWEST VENTURES, LLCOWNER/MEMBERDomestic entity | RCB ACQUISITION COMPANY LLC | 25% to less than 50%Code C | Yes | OWNER/MEMBER07/2011 | Schedule BPDF page 67 |
| 15 | RICHARD HOLLANDER AND JACQUELINE HOLLANDER TTEE OF THE HOLLANDER FAMILY TRUST DTD 12/28/88OWNER/MEMBERDomestic entity | METWEST VENTURES, LLC | 75% or moreCode E | Yes | OWNER/MEMBER10/2009 | Schedule BPDF page 67 |
| 16 | JACQUELINE HOLLANDERCO-TRUSTEEIndividual | RICHARD HOLLANDER AND JACQUELINE HOLLANDER TTEE OF THE HOLLANDER FAMILY TRUST DTD 12/28/88 | Percentage not specifiedCode F | Yes | CO-TRUSTEE10/2009 | Schedule BPDF page 67 |
| 17 | RICHARD SCOTT HOLLANDERCO-TRUSTEEIndividual | RICHARD HOLLANDER AND JACQUELINE HOLLANDER TTEE OF THE HOLLANDER FAMILY TRUST DTD 12/28/88 | Percentage not specifiedCode F | Yes | CO-TRUSTEE10/2009 | Schedule BPDF page 67 |
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 2:18:12 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.