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Carol Rumsey

Owner, Chief Compliance Officer at Aristotle Pacific Capital

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Carol Rumsey is Owner, Chief Compliance Officer of Aristotle Pacific Capital, LLC, a Newport Beach investment adviser managing $26.8B. Carol Rumsey has a current broker registration and no current investment-adviser registration and has passed the SIE, Series 6TO and Series 26.

Role at Aristotle Pacific Capital

Title on Schedule A
Owner, Chief Compliance Officer
Control
Carol Rumsey is a control person of Aristotle Pacific Capital.
Ownership
An individual ownership band is not available in the source record.
Tenure
Carol Rumsey has held the filed role since April 2023.

The firm

Aristotle Pacific Capital, LLC
Newport Beach, CA

Form ADV filed 31 March 2026

$26.8B AUM15 clients22 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed SIE, Series 6TO and Series 26 · 2021

Registrations and exams

Broker registration; no current adviser registration. Carol Rumsey has passed 3 qualifying exams.

Examinations

Series 2621 July 2021
Name
Investment Company Products/Variable Contracts Principal Examination
Series 6TO19 June 2021
Name
Investment Company Products/Variable Contracts Representative Examination
SIE6 May 2021
Name
Securities Industry Essentials Examination

Individual record

Full name
Carol Elaine Rumsey
CRD
6607444
Firm
Aristotle Pacific Capital, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Carol Rumsey work?

Carol Rumsey has been Owner, Chief Compliance Officer of Aristotle Pacific Capital, LLC since April 2023, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 31 March 2026

Does Carol Rumsey have a current investment-adviser registration?

Carol Rumsey has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Carol Rumsey passed?

Carol Rumsey has passed 3 licensing exams: the SIE, Series 6TO and Series 26. The earliest, the SIE, was passed in May 2021.

Source: IAPD individual record, checked 18 October 2026

Leadership at Aristotle Pacific Capital

Sources

  1. IAPD individual record, CRD 6607444. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Aristotle Pacific Capital, LLC, filed 31 March 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Carol Rumsey or Aristotle Pacific Capital, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.