PACIFIC PRIVATE FUND ADVISORS LLC of NEWPORT BEACH, CA is an SEC-registered investment adviser (CRD 168830). Regulatory assets under management: $12.2B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Benjamin David Wiesenfeld | CHIEF COMPLIANCE OFFICER | — |
| Jeffrey Robert Johnson | SENIOR MANAGING DIRECTOR | — |
| Michael John Clifton | CHIEF COMPLIANCE OFFICER | — |
| TRAN KHANH THIEN | PRESIDENT | — |
| PACHECO SHARON EMI | CHIEF COMPLIANCE OFFICER | — |
| WIESENFELD BENJAMIN DAVID | CHIEF COMPLIANCE OFFICER | — |
| BURRITT JAMES R | MANAGING DIRECTOR; SENIOR MANAGING DIRECTOR | — |
| JOHNSON BRETT ROBERT | SENIOR MANAGING DIRECTOR | — |
| CHEEVER SHARON A | GENERAL COUNSEL | — |
| GRIGGS ADRIAN SCOTT | CHIEF FINANCIAL OFFICER | — |
| PATWARDHAN HARSHA SUDHIR | MANAGING DIRECTOR | — |
| Rumsey Carol Elaine | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-04-09 | regulatory | PACIFIC LIFE & ANNUITY COMPANY WAS NOT IN COMPLIANCE WITH CERTAIN SECTIONS OF THE NEW YORK REGULATIONSON DISCLOSURE AND SUITABILITY REQUIREMENTS REGARDING THE REPLACEMENT OF DEFERRED ANNUITY CONTRACTSWITH IMMEDIATE ANNUITY CONTRACTS. | Final | $172K |
| 2019-11-06 | regulatory | PACIFIC LIFE INSURANCE COMPANY ("PLIC") WAS CITED BY THE ILLINOIS DEPARTMENT OF INSURANCE FOR ALLEGEDLY NOT BEING IN COMPLIANCE WITH CERTAIN SECTIONS OF THE ILLINOIS INSURANCE CODE AND DEPARTMENT REGULATIONS ON DISCLOSURE, WHICH RESULTED IN THE NEED TO UPDATE POLICIES AND PROCEDURES ASSOCIATED WITH… | Final | $37K |
| 2019-09-19 | regulatory | ON NOVEMBER 13, 2023, PACIFIC LIFE INSURANCE COMPANY ("PLIC") RECEIVED AN ORDER OF CIVILPENALTY AND THE ADOPTION OF A CORRECTIVE ACTION PLAN RELATED TO ITS BUSINESS OF INSURANCEFROM THE MINNESOTA DEPARTMENT OF COMMERCE ("MDC") FOR ALLEGED VIOLATIONS OF MINNESOTAINSURANCE STATUTES. THE ORDER ALLEGED… | Final | $250K |
| 2019-07-30 | regulatory | PACIFIC LIFE INSURANCE COMPANY WAS CITED BY THE CALIFORNIA DEPARTMENT OF INSURANCE FOR ALLEGEDLYNOT BEING IN COMPLIANCE WITH CERTAIN SECTIONS OF THE CALIFORNIA INSURANCE CODE AND CODE OFREGULATIONS | Final | $10K |
| 2019-05-13 | regulatory | STARTING IN 2019, PACIFIC LIFE INSURANCE COMPANY (PLIC) HAS BEEN THE SUBJECT OF AN INVESTIGATION BY THE NEW YORK DEPARTMENT OF FINANCIAL SERVICES (NYDFS) RELATED TO CONDUCTING PENSION RISK-TRANSFER (PRT) BUSINESS WITHIN THE STATE. THE NYDFS CONSIDERS IN-PERSON MEETINGS IN NEW YORK AND ANY COMMUNICAT… | Final | $3.0M |
| 2017-12-04 | regulatory | PACIFIC LIFE INSURANCE COMPANY CITED BY MARYLAND INSURANCE ADMINISTRATION FOR ALLEGEDLY NOT BEINGIN COMPLIANCE WITH CERTAIN SECTIONS OF THE MARYLAND INSURANCE STATUTES AND ADMINISTRATIVE CODE. | Final | $9K |
| 2013-04-29 | regulatory | PACIFIC LIFE INSURANCE COMPANY PAID A $14,000 ADMINISTRATIVE PENALTY TO THE ILLINOIS DEPARTMENT OF INSURANCE AND AGREED TO CORRECT PROCESSES TO RESOLVE ALLEGED VIOLATIONS OF CERTAIN SECTIONS OF THE ILLINOIS INSURANCE CODE AND DEPARTMENT REGULATIONS REGARDING A FAILURE TO PROVIDE INSUREDS WITH A "NOT… | Final | $14K |
| 2012-06-28 | regulatory | PACIFIC LIFE INSURANCE COMPANY PAID A $7,500 ADMINISTRATIVE PENALTY PLUS $3,000 IN ADMINISTRATIVE COSTS TO THE FLORIDA OFFICE OF INSURANCE REGULATION TO RESOLVE ALLEGED VIOLATIONS OF CERTAIN SECTIONS OF THE FLORIDA INSURANCE CODE REGARDING A REFUSAL OF LIFE INSURANCE BASED SOLELY ON THE INDIVIDUAL'S… | Final | $11K |