# SORRENTO PACIFIC FINANCIAL, LLC

SORRENTO PACIFIC FINANCIAL, LLC of SAN DIEGO, CA is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 127787
- Type: SEC-registered investment adviser
- SEC file number: 801-70354
- Location: 10150 MEANLEY DRIVE, 1ST FLOOR, SAN DIEGO, CA, 92131
- Phone: 800-686-4724
- Latest filing: 2025-08-08
- Regulatory AUM: $222.3M
- Discretionary AUM: $149.0M
- Non-discretionary AUM: $73.3M
- Clients: 248
- Accounts: 924

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities

## Officers, owners & control persons (27)

_Showing 25 of 27 people._

| Name | Role | Location |
| --- | --- | --- |
| Theodore Robert Horwith | CHIEF FINANCIAL OFFICER, FINOP | — |
| Kevin Lawrence Beard | MANAGER | — |
| Laura Nicole White | ADVISORY CHIEF COMPLIANCE OFFICER | — |
| Mary Kathryn Simonson | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER | — |
| Amanda Candelmo Hawley | CORPORATE SECRETARY | — |
| Kevin Scott Mummau | PRESIDENT | — |
| Douglas John Ketterer | MANAGER | — |
| JALLANS LESLIE BERNARD | CHIEF COMPLIANCE OFFICER | — |
| BEATTIE AMELIA HARDWICK | CHIEF OPERATING OFFICER; COO; TRUSTEE | — |
| SEYFERT VALORIE ANNE | MANAGER; PRESIDENT; PRESIDENT, CLO, CFO, CEO (+1 more) | — |
| MUMMAU KEVIN SCOTT | PRESIDENT | — |
| SIMONSON MARY KATHRYN | CHIEF FINANCIAL OFFICER | — |
| DAHL RICHARD STEWART | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER; ROSFP; MEMBER LLC | — |
| UNLAND MARY JO | MEMBER LLC | — |
| BEATTIE GEORGE TAYLOR | TRUSTEE | — |
| BERG LIZBETH DAWN | ROSFP | — |
| DILLOWAY KEITH EDWARD | ROSFP | — |
| KILROY DANIEL JOSEPH | FINOP | — |
| CANEDY ERIK JASON | CHIEF COMPLIANCE OFFICER | — |
| TRANG RICHARD | ROSFP | — |
| KETTERER DOUGLAS JOHN | MANAGER; SHAREHOLDER | — |
| BEARD KEVIN LAWRENCE | MANAGER; MEMBER | — |
| TAYLOR DONALD | CHIEF FINANCIAL OFFICER, FINOP | — |
| Horwith Theodore Robert | CHIEF FINANCIAL OFFICER, FINOP | — |
| WHITE LAURA NICOLE | ADVISORY CHIEF COMPLIANCE OFFICER | — |


## Disclosures (9)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2019-03-11 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") FOUND THAT AT TIMES DURING THE RELEVANT PERIOD, DEFINED AS 01/01/2014 THROUGH 03/31/2018, SORRENTO PACIFIC FINANCIAL, LLC ("SPF") PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LO… | Final | — |
| — | regulatory | — | — | — |


## Branch offices (24)

_Showing 15 of 24 offices._

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| BRICK | NJ | 2 | 732-477-5697 |
| BAY CITY | MI | 2 | 989-667-7200 |
| VACHERIE | LA | 2 | 225-265-2265 |
| VENTURA | CA | 1 | 805-895-8606 |
| SANTA ROSA | CA | 1 | (707) 863-6760 |
| SAN RAFEAL | CA | 1 | 800-848-1088 |
| DEDHAM | MA | 1 | 781-329-6700 |
| WALPOLE | MA | 1 | 508-668-4600 |
| DEDHAM | MA | 1 | 781-320-1410 |
| DEDHAM | MA | 1 | 781-320-1412 |
| NEEDHAM | MA | 1 | 781-449-0002 |
| NORWOOD | MA | 1 | (781) 762-8500 |
| SHARON | MA | 1 | 781-793-9360 |
| WESTWOOD | MA | 1 | 781-320-1416 |
| SOUTH BOSTON | MA | 1 | 781-320-4805 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/127787/brochure
- Similar advisers: https://search.stillhousedata.com/firm/127787/similar
- Related entities: https://search.stillhousedata.com/firm/127787/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/127787

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.