Wednesday, October 21, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
IN SpaceX’s AI segment now drives more than half its revenue. Here’s what advisors should watch nextFP Why AI might recommend your competitor instead of youFP Why clients are choosing phased retirement — and what advisors should know4K SPARK Forum Offering Scholarships for Retirement Plan AdvisorsFP What Schwab's new ETF platform fees mean for clients, advisorsWM RIA Platform Leaders Ask ‘What’s the Advantage in Having Your Own Form ADV?’IN Fake e-vite phishing scams put high-net-worth clients at riskRB Rick Wurster says Schwab is tackling its forced rationing of long/short SMAs with proprietary 'offering' to stretch balance sheet, but it may be more about a fee upside, a long/short manager saysIN Fintech bytes: 55ip, Vise, Syntax push tax-smart tools for RIAsWM $20B Modera Wealth Management Launches AI Operating Platform

Owner, Chief Compliance Officer · Aristotle Pacific Capital, LLC

Carol E. Rumsey

CRD 6607444 · Named on Form ADV at 5 SEC-registered advisers

At a glance

Aristotle Pacific Capital, LLC, an SEC-registered asset manager based in Newport Beach, CA with $26.8 billion in regulatory assets, lists Carol E. Rumsey on its Form ADV as Owner, Chief Compliance Officer, a control person. The SEC filings also name Carol at 4 other registered advisers.

Firms and roles

AtlasMembers

Carol’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
5 firmsLocked
Control-person status
5 firmsLocked
When each role began
Locked
Each firm’s assets and growth
Locked
Search and export owners by title, state and firm size
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (11)

  • Joseph G. LallandeOwner, General Counsel, Aristotle Pacific Capital, LLC
  • Dominic D. NolanOwner, Chief Executive Officer, Aristotle Pacific Capital, LLC
  • Charles R. BoydOwner, Senior Managing Director/portfolio Manager, Aristotle Pacific Capital, LLC
  • Joshua B. SchwabOwner, Chief Financial Officer, Chief Operating Officer, Aristotle Pacific Capital, LLC
  • James P. LeasureOwner, Senior Managing Director, Aristotle Pacific Capital, LLC

6 more people named with Carol on the same filings, with titles and firms. Free in Atlas with a free account.

See all 11 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Carol’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.