Soteira Capital, LLC (Irvine)

Soteira Capital, LLC is a mid-sized advisory firm based in Irvine. It manages $100 million of regulatory assets for 20 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of California and Washington.

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

Soteira Capital: assets under management

The assets under management (AUM) of Soteira Capital, LLC is $100 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 5% since the beginning of its operation, and $10 million of the total AUM is attributable to clients outside of the United States.

The firm manages $100 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $5 million each.

Investments

The firm invests in exchange traded securities the most. They account for 80% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 10% of the firm’s portfolio. Investments in derivatives form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Soteira Capital, 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 Soteira Capital serves?

The firm provides services to investment companies and high net worth individuals. The largest group of clients of Soteira Capital is investment companies with 2 clients and $90 million of assets under management. Among the 9 most similar advisory firms, Soteira Capital has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $100 million for 20 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 20% of the firm’s clients are foreign persons or businesses.

Soteira Capital doesn't advise any private funds.

Careers at Soteira Capital, LLC

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 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 receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jean Chi En Ho	Chief compliance officer / cco	1 Jul 2010	Other	3259330
Llc Soteira Investors	Member manager	1 Jul 2010	75% - 100%	27-3008943
Arthur Ralph Nowell	Managing director	1 Jul 2010	Other	5925764
Derek Charles Clark	Chief investment officer / cio	1 Jul 2010	50% - 75%	1915567
David Rane	Coo/cfo	1 Jul 2010	Other	5826688
Jean Chi En Monahan	Chief compliance officer	1 Jul 2010	Other	3259330
David Alan Rane	Cfo	1 Jul 2010	Other	5826688
Joel Raymond Hussey	Chief risk officer	1 Jan 2012	Other	5934821

Based in Irvine

The principal office where Soteira Capital, LLC performs its advisory services is located at 19200 Von Karman, Irvine, CA 92612, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 9493878150 or by fax 949-387-8151. The normal business hours are soteira capital on Monday - Friday.