Catalina Capital Group, LLC (Torrance)


Catalina Capital Group, LLC is a large advisory firm based in Torrance. It manages $136.32 million of regulatory assets for 218 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of California, Florida, and Texas.

Catalina Capital Group provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, publication of newsletters, and educational seminars and workshops. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Catalina Capital Group: assets under management

The assets under management (AUM) of Catalina Capital Group, LLC is $136.32 million. The firm's AUM has grown by 9% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $124.81 million in discretionary accounts and $11.51 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $608.85 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $885.14 thousand.
Catalina Capital Group has custody of $12.65 million in cash and securities for 23 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 46% of the total AUM. The second-largest asset type is exchange traded securities, which make up 41% of the firm’s portfolio. Investments in pooled investment vehicles form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Catalina Capital Group, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Catalina Capital Group serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Catalina Capital Group is high net worth individuals with 42 clients and $117.8 million of assets under management. Among the 10 most similar advisory firms, Catalina Capital Group has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $136.32 million for 92 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Catalina Capital Group doesn't advise any private funds.

Careers at Catalina Capital Group, LLC

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There are 3 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate 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
Chris Matthew Frantz Managing member/chief compliance officer 1 Aug 2014 50% - 75% 5283015
Philippe Robert Oertle Member 1 Aug 2017 50% - 75% 5192671

Based in Torrance

The principal office where Catalina Capital Group, LLC performs its advisory services is located at 2790 Skypark Dr., Torrance, CA 90505, 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 310-540-5544. The normal business hours are 9 am - 5 pm on Monday - Friday. You can find more information about the New York firm at catalinacapitalgroup.com.