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PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY

GLENDALE, CA · CRD 106962 · IAPD ↗ · pacificglobal.us · 800-404-6693

$87.5MRegulatory AUM
4Advisory reps
6Employees
140Clients
1-10Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

68
July 2026 — PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY grew from 1 to 4 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
65
June 2026 — PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY now reports custody of client assets.
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
55
May 2026 — PACIFIC GLOBAL INVESTMENT MANAGEMENT CO is now doing business as PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
50
April 2026 — PACIFIC GLOBAL INVESTMENT MANAGEMENT CO shrank from 3 to 1 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
45
April 2025 — PACIFIC GLOBAL INVESTMENT MANAGEMENT CO reported RAUM down 87% ($740.2M -> $98.9M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
58
April 2025 — PACIFIC GLOBAL INVESTMENT MANAGEMENT CO reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.