Firm profile

Aristotle Investment Services, LLC

NEWPORT BEACH, CACRD 324207Registration Status: ApprovedEffective since January 27, 2023SEC # 801-127110Latest ADV March 30, 2026

Aristotle Investment Services, LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Newport Beach, CA. Its latest Form ADV filing, dated March 30, 2026, reports $16.5B in regulatory assets under management, 27 employees, 2 offices, and 21 accounts.

Assets Under Management
$16.5B
Employees
27
Offices
2 offices
Total Clients
<5

Associated firm names

1 name listed
  • ARISTOTLE INVESTMENT SERVICES, LLC

Leadership

8 roles identified
CEODominic D. Nolan
CEOHoward R. Gleicher
CCOCarol E. Rumsey

Advisory services offered

2 types reported
Portfolio management for investment companies
Selection of other advisers

Fee models offered

1 types reported
Asset based fees

Offices & Contact

Primary office

NEWPORT BEACH, 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

NEWPORT BEACHPrimary office · LOS ANGELES

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$16.5Bas of March 30, 2026
Discretionary100.0%
$16.5B
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 segmentInvestment Cos. represent 100.0% of total clients.
Top client categories% of clientsClients
1
Investment Cos.
100.0%
1

Assets under management Growth by Quarter

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

Total AUM$16.5B
Total Accounts21
10Y AUM Change+$16.5B

Private Funds

Private funds reported by Aristotle Investment Services, 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 Employees27
Clients per Employee0:1
10Y Employee Change+18 (+200.0%)

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 INVESTMENT SERVICES, LLC
75%+
RCB ACQUISITION COMPANY, LLCIndirect owner · Schedule BInterest in ARISTOTLE CAPITAL MANAGEMENT, LLC
25% to < 50%
GLEICHER HOLDINGS, LLCIndirect owner · Schedule BInterest in ARISTOTLE CAPITAL MANAGEMENT, 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 Investment Services, LLC.

Reported ownership and control details

Form ADV · Filing date 2026-03-30 · Schedules A and B

16 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1ARISTOTLE CAPITAL MANAGEMENT, LLCOWNER/MEMBERDomestic entityARISTOTLE INVESTMENT SERVICES, LLC75% or moreCode EYesOWNER/MEMBER11/2022Schedule APDF page 39
2CAROL ELAINE RUMSEYCHIEF COMPLIANCE OFFICERIndividualARISTOTLE INVESTMENT SERVICES, LLCLess than 5%Code NAYesCHIEF COMPLIANCE OFFICER05/2023Schedule APDF page 39
3JOSEPH GUSTAVE LALLANDEDEPUTY CHIEF LEGAL OFFICERIndividualARISTOTLE INVESTMENT SERVICES, LLCLess than 5%Code NAYesDEPUTY CHIEF LEGAL OFFICER04/2023Schedule APDF page 39
4DOMINIC DAO NOLANCHIEF EXECUTIVE OFFICERIndividualARISTOTLE INVESTMENT SERVICES, LLCLess than 5%Code NAYesCHIEF EXECUTIVE OFFICER04/2023Schedule APDF page 39
5Joshua Brian SchwabCHIEF FINANCIAL OFFICERIndividualARISTOTLE INVESTMENT SERVICES, LLCLess than 5%Code NAYesCHIEF FINANCIAL OFFICER04/2023Schedule APDF page 39
6THOMAS JOSEPH FUCCILLOCHIEF LEGAL OFFICERIndividualARISTOTLE INVESTMENT SERVICES, LLCLess than 5%Code NAYesCHIEF LEGAL OFFICER01/2023Schedule APDF page 39
7KIM MARIE ST HILAIRECHIEF OPERATING OFFICERIndividualARISTOTLE INVESTMENT SERVICES, LLCLess than 5%Code NAYesCHIEF OPERATING OFFICER11/2022Schedule APDF page 39
8RICARDO COSTAMANAGING DIRECTORIndividualARISTOTLE INVESTMENT SERVICES, LLCLess than 5%Code NAYesMANAGING DIRECTOR04/2023Schedule APDF page 39
9RCB ACQUISITION COMPANY, LLCOWNERDomestic entityARISTOTLE CAPITAL MANAGEMENT, LLC25% to less than 50%Code CYesOWNER07/2011Schedule BPDF page 39
10GLEICHER HOLDINGS, LLCOWNERDomestic entityARISTOTLE CAPITAL MANAGEMENT, LLC25% to less than 50%Code CYesOWNER12/2012Schedule BPDF page 40
11RICHARD HARLAN SCHWEITZEROWNER, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICERIndividualARISTOTLE CAPITAL MANAGEMENT, LLCPercentage not specifiedCode FYesOWNER, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER07/2011Schedule BPDF page 40
12HOWARD ROY GLEICHEROWNER, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICERIndividualARISTOTLE CAPITAL MANAGEMENT, LLCPercentage not specifiedCode FYesOWNER, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER07/2011Schedule BPDF page 40
13RICHARD SCOTT HOLLANDEROWNER, CHAIRMAN OF THE BOARDIndividualARISTOTLE CAPITAL MANAGEMENT, LLCPercentage not specifiedCode FYesOWNER, CHAIRMAN OF THE BOARD09/2012Schedule BPDF page 40
14WILLIAM J. AVERILLOWNER/MANAGING MEMBERIndividualARISTOTLE CAPITAL MANAGEMENT, LLCPercentage not specifiedCode FYesOWNER/MANAGING MEMBER11/2024Schedule BPDF page 40
15GREGORY DARIO PADILLAOWNER/MANAGING MEMBERIndividualARISTOTLE CAPITAL MANAGEMENT, LLCPercentage not specifiedCode FYesOWNER/MANAGING MEMBER11/2024Schedule BPDF page 40
16MARIA CATALINA LLINAS-GUSTAFSONOWNER/MANAGING MEMBERIndividualARISTOTLE CAPITAL MANAGEMENT, LLCPercentage not specifiedCode FYesOWNER/MANAGING MEMBER11/2024Schedule BPDF page 40

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 3/30/2026 11:54:33 AM

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.