Soteira Capital, LLC

CRD#154586
Investment Advisor Firm

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Overview

Soteira Capital, LLC is an advisory company based in Irvine, California. The firm handles $16.7 million in assets throughout 20 customer accounts. It has a small group of three employees, including two financial advisors. Soteira Capital, LLC does not act as a registered broker-dealer, meaning the advisor is not able to buy and sell securities for its accounts and those of its clients and instead has to go through a broker-dealer company to do so. Securities are tradable financial investments like bonds, equities and options.

Soteira Capital, LLC oversees all of the firm's client assets in a discretionary manner. Discretionary management signifies that buy and sell decisions for the client's account are made by an investment advisor without requiring client approval. The advisory firm's typical account size is $835,000. The typical advisor at Soteira Capital, LLC oversees around 10 client accounts, placing it among the more individualized advisor firms in the country.

Soteira Capital, LLC's main office is located at 19200 Von Karman, Irvine, California 92612. The company is legally registered to serve clients across a few states, including California and Washington.

Assets Under Management

$16.7 million

Number of Advisors

2

Disclosures

No

Office Location

19200 Von Karman
Irvine, CA 92612

Soteira Capital, LLC by the Numbers

Total Assets Under Management

$16.7 million

National Average: $3.7 billion
Total Number of Employees

3

National Average: 29
Total Number of Accounts

20

National Average: 2,073
Average Account Size

$835.0 thousand

National Average: $1.8 million

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Fee Structure

Fees charged by financial advisors usually vary depending on which service is offered. Fee types billed by Soteira Capital, LLC can include any combination of the following fee structures: asset-based or performance-based. The firm does not supply a wrap fee program, in which the company offers a service bundle for a comprehensive fee.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 17% of firms

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

Unavailable

  • Find one of the 35% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 40% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The company works with high net worth investors, pooled investment vehicles and charitable organizations. Out of its 20 accounts, Soteira Capital, LLC's largest client group is high net worth investors, but it also manages money for 18 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 under management or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). About 25% of the company's accounts are from outside of the U.S.

  • High-Net-Worth Individuals* - 90%
  • Other Individuals - 0%
  • Corporations - 5%
  • Charitable Organizations - 5%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Soteira Capital, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA