{"url":"https://nivawealth.com/firms/aristotle-investment-services-324207","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/324207","regulatoryAum":16503921924,"crd":"324207","secFileNumber":"801-127110","legalName":"Aristotle Investment Services, LLC","displayName":"Aristotle Investment Services","website":null,"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"840 Newport Center Drive, 7th Floor","city":"Newport Beach","state":"CA","stateName":"California","country":"United States","postalCode":"92660"},"tradeNames":[],"registration":{"secApproved":"27 January 2023","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":27,"advisory":7,"brokerDealerReps":10,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":16503921924,"discretionaryAccounts":21,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":1,"regulatoryAum":16503921924}],"fees":[],"feeNotes":[],"custodians":[],"custodyNote":"Aristotle Investment Services does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Dominic Nolan","title":"Chief Executive Officer","crd":"4026940"},{"name":"Joshua Schwab","title":"Chief Financial Officer","crd":"7051012"},{"name":"Kim ST Hilaire","title":"Chief Operating Officer","crd":"4916865"},{"name":"Carol Rumsey","title":"Chief Compliance Officer","crd":"6607444"},{"name":"Ricardo Costa","title":"Managing Director","crd":"5150821"},{"name":"Thomas Fuccillo","title":"Chief Legal Officer","crd":"2204906"},{"name":"Joseph Lallande","title":"Deputy Chief Legal Officer","crd":"3136071"}],"ownership":[{"label":"Aristotle Capital Management, LLC","detail":"Owner/member in the 75% or more ownership band and a control person, since November 2022."},{"label":"RCB Acquisition Company, LLC","detail":"Indirect owner: a owner of Aristotle Capital Management, LLC in the 25% to 50% band and a control person, since July 2011.","parent":"Aristotle Capital Management, LLC"},{"label":"Gleicher Holdings, LLC","detail":"Indirect owner: a owner of Aristotle Capital Management, LLC in the 25% to 50% band and a control person, since December 2012.","parent":"Aristotle Capital Management, LLC"},{"label":"Richard Schweitzer","detail":"Indirect owner: owner, chief financial officer, chief operating officer of Aristotle Capital Management, LLC and a control person, since July 2011.","parent":"Aristotle Capital Management, LLC"},{"label":"Howard Gleicher","detail":"Indirect owner: owner, chief executive officer, chief investment officer of Aristotle Capital Management, LLC and a control person, since July 2011.","parent":"Aristotle Capital Management, LLC"},{"label":"Richard Hollander","detail":"Indirect owner: owner, chairman of the board of Aristotle Capital Management, LLC and a control person, since September 2012.","parent":"Aristotle Capital Management, LLC"},{"label":"William Averill","detail":"Indirect owner: owner/managing member of Aristotle Capital Management, LLC and a control person, since November 2024.","parent":"Aristotle Capital Management, LLC"},{"label":"Gregory Padilla","detail":"Indirect owner: owner/managing member of Aristotle Capital Management, LLC and a control person, since November 2024.","parent":"Aristotle Capital Management, LLC"},{"label":"Maria Llinas Negret","detail":"Indirect owner: owner/managing member of Aristotle Capital Management, LLC and a control person, since November 2024.","parent":"Aristotle Capital Management, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"840 Newport Center Drive, 7th Floor","city":"Newport Beach","headquarters":true},{"street":"11100 Santa Monica BLVD.","city":"Los Angeles"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"949-681-2100","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/324207/PDF/324207.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Aristotle Investment Services have?","answer":"Aristotle Investment Services has 1 clients and manages $16.5 billion for them, as of March 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Aristotle Investment Services offer?","answer":"Aristotle Investment Services provides portfolio management for investment companies and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Aristotle Investment Services have?","answer":"Aristotle Investment Services has 1 investment adviser representatives registered with state securities authorities, out of 27 employees, and 7 perform investment advisory functions. 10 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Aristotle Investment Services?","answer":"Aristotle Investment Services is owned through a holding company by RCB Acquisition Company, LLC and Gleicher Holdings, LLC. Its direct owner is Aristotle Capital Management, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Aristotle Investment Services get paid?","answer":"Aristotle Investment Services is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}