Syndicated Capital provides financial planning and portfolio management for individuals and small businesses.
Syndicated Capital reports 465 clients. They include 438 individual clients and 27 high-net-worth individuals. Of its assets, 96.4% ($137M across 447 accounts) are managed with discretion; $5.09M across 18 accounts are not. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 94% | 56% |
| High-net-worth individuals | 6% | 44% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 438 | $79.5M | 56.0% | $182K |
| High-net-worth individuals | 27 | $62.5M | 44.0% | $2.31M |
| Total | 465 | $142M | 100% | $305K |
- Clients
- 438
- Regulatory AUM
- $79.5M
- AUM share
- 56.0%
- Avg. per client
- $182K
- Clients
- 27
- Regulatory AUM
- $62.5M
- AUM share
- 44.0%
- Avg. per client
- $2.31M
Total
- Clients
- 465
- Regulatory AUM
- $142M
- AUM share
- 100%
- Avg. per client
- $305K
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Syndicated Capital charges 2.00% a year for its Standard advisory fee; its fees and minimums are set out in its brochures on the SEC website.
SC Add Holdings, LLC owns 50% to 75% of Syndicated Capital and is in turn owned by Faith Lee (50–75%). The leadership team of Syndicated Capital includes President Faith Lee. It has 12 employees, 9 of them in advisory roles.
Staff
- 12 employees
- 9 in advisory functions
- 11 state-registered reps
- 11 broker-dealer reps
- 5 insurance agents
- Owns 50% to 75% of Syndicated Capital, Inc.
SC Add Holdings, LLC
Control person · since September 2020
- Owns 50% to 75% of SC Add Holdings, LLC
Faith Lee
Control person · since September 2020
- Owns 25% to 50% of Syndicated Capital, Inc.
Baines and McAdams Living Trust
Control person · since January 2011
- Owns 50% to 75% of Baines and McAdams Living Trust
Heather Una Baines
Control person · since January 2011
Syndicated Capital’s regulatory assets grew from $115M (March 2024) to $142M (September 2026); clients rose from 436 to 465 and employees were 12 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Sep 2026September 2026 | $142M | 465 | 12 | 9 |
| Mar 2025March 2025 | $123M | 393 | 12 | 9 |
| Mar 2024March 2024 | $115M | 436 | 12 | 7 |
Besides its headquarters, Syndicated Capital has 8 offices, with 9 listed addresses across 4 states.
California · 6 listed addresses
- 135 S State College BLVD., Suite 200, BreaHQ
- 825 S Primrose Avenue, Monrovia
- 1100 Alakea Street, Honolulu
- 21671 Gateway Center Drive, Diamond Bar
- 8880 Rio San Diego Drive, San Diego
- 349 Rochester Street, Costa Mesa
New York · 1 listed address
- 133-14 39th Avenue, Flushing
Oregon · 1 listed address
- 2445 Ne Division Street, Bend
Pennsylvania · 1 listed address
- 103 Hyde Park, Doylestown
Contact and registration details
- Legal name
- Syndicated Capital, Inc.
- Headquarters
- 135 S State College BLVD., Suite 200, Brea, CA 92821
- Website
- syndicatedcapital.com
- Phone
- 310-751-7098
- SEC file
- 801-129421
- Structure
- California corporation
- Fiscal year end
- December
Syndicated Capital has custody of $124M for 380 clients.
At year end, Syndicated Capital’s separately managed accounts were mostly in stocks (76%) and funds (18%).
What the accounts hold
- Stocks76%
- Exchange-traded equities67%
- Non-exchange-traded equities9%
- Funds18%
- Bonds1%
- Cash5%
How many clients does Syndicated Capital have?
Syndicated Capital has 465 clients and manages $142 million for them, as of September 2026. They include 438 individual clients and 27 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 September 2026
What services does Syndicated Capital offer?
Syndicated Capital provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Syndicated Capital charge?
Syndicated Capital charges 2.00% a year for its Standard advisory fee.
How many financial advisors does Syndicated Capital have?
Syndicated Capital has 11 investment adviser representatives registered with state securities authorities, out of 12 employees, and 9 perform investment advisory functions. 11 employees are registered representatives of a broker-dealer and 5 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Syndicated Capital invest in?
At the end of its last fiscal year, Syndicated Capital’s separately managed accounts held 67% exchange-traded equities, 18% registered funds (mutual funds, ETFs, BDCs), 9% non-exchange-traded equities, 5% cash and equivalents and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Syndicated Capital?
Syndicated Capital is owned through a trust and a holding company by Heather Una Baines and Faith Lee. Its direct owners are Baines and McAdams Living Trust (25% to 50%) and SC Add Holdings, LLC (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 30 September 2026
How does Syndicated Capital get paid?
Syndicated Capital is paid through a percentage of assets under management, fixed fees and other compensation. 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
How do I contact Syndicated Capital?
Syndicated Capital’s main office is at 135 S State College BLVD., Suite 200, Brea, CA 92821. Its phone number is 310-751-7098. Its website is syndicatedcapital.com.