Caltius Capital Management, LP (Los Angeles)

Name: Caltius Capital Management, LP
Address: 11766 Wilshire Blvd, Los Angeles, CA, 90025 6567
Telephone: 310-996-9585

Caltius Capital Management, LP is a large advisory firm based in Los Angeles. It manages $647.38 million of regulatory assets for 12 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of California.

Caltius Capital Management provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Caltius Capital Management: assets under management

The assets under management (AUM) of Caltius Capital Management, LP is $647.38 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -34% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $647.38 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $53.95 million each.

Caltius Capital Management has custody of $405.31 million in cash and securities for 12 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Caltius Capital Management, LP 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 Caltius Capital Management serves?

The only and largest group of clients of Caltius Capital Management is pooled investment vehicles with 12 clients and $647.38 million of assets under management. Among the 9 most similar advisory firms, Caltius Capital Management has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $647.38 million for 12 clients. None of the firm’s clients are foreign persons or businesses.

Caltius Capital Management also advises several private funds. Namely, twelve private equity funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $5,000,000.

Careers at Caltius Capital Management, LP

The company employs 18 people that are either part- or full-time employees. 72 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone 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 don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jess Marshall Ravich	Trustee of the ravich revocable trust of 1989	1 Jan 1990	Other	1591933
Tia Marie Palermo	Trustee of the ravich revocable trust of 1989	1 Jan 1990	Other	1350892
James Brian Upchurch	President, caltius capital management, lp	1 Jun 1997	75% - 100%	1207683
Gregory James Howorth	Managing director, caltius capital management, lp	1 Jun 1997	Other	6010293
Robert Gordon Morrish	Evp & general counsel, caltius capital management, lp	1 Jun 1997	Other	2507668
Llc Caltius Capital Management	General partner, caltius capital management, lp	1 Jun 1997	Other	95-4832700
Ravich Revocable Trust Of 1989	Limited partner, caltius capital management, lp	1 Jun 1997	Other	xxx-xx-xxxx
Michael Kane	Managing director, caltius capital management, lp	1 Aug 1997	Other	2619732
Garrick Ahn	Managing director, caltius capital management, lp	1 Feb 1999	Other	2168278
Michael Joseph Morgan	Managing director, caltius capital management, lp	1 Apr 1999	Other	2935268
Gregory Laurence Brackett	Chief financial officer, caltius capital management, lp	1 Jul 2000	Other	6010294
Alisa Gaie Frederick	Managing director and chief compliance officer, caltius capital management, lp	1 Sep 2008	Other	6010969
Holdsberg Jeffrey	Managing director, caltius capital management, lp	1 Sep 2008	Other	6176910

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Jess Marshall Ravich	Member	1 Jun 1997	25% - 50%	1591933

Based in Los Angeles

The principal office where Caltius Capital Management, LP performs its advisory services is located at 11766 Wilshire Blvd, Los Angeles, CA 90025 6567, 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 310-996-9585 or by fax 310-996-9577. The normal business hours are 8:30am - 5:00pm on Monday - Friday. You can find more information about the New York firm at caltius.com.