← Tributary

PACIFIC OAK CAPITAL ADVISORS, LLC

COSTA MESA, CA · CRD 299177 · IAPD ↗ · 866-722-6257

$3.20BRegulatory AUM
9Advisory reps
11Employees
0Clients
n/aPlanning clients
0Private funds
1States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

55
March 2026 — PACIFIC OAK CAPITAL ADVISORS, LLC (COSTA MESA, CA) left the SEC roster (was $3.20B RAUM, 9 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
40
August 2025 — PACIFIC OAK CAPITAL ADVISORS, LLC moved its main office from LOS ANGELES, CA to COSTA MESA, CA.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
45
April 2025 — PACIFIC OAK CAPITAL ADVISORS, LLC shrank from 13 to 9 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

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