Syndicated Capital, Inc.

Broker-DealerFINRA Member

Total AUM

$142M

Discretionary

$137M

96% of AUM

Accounts

465

Employees

12

Advisory reps

18

Brokerage reps

11

Firm details

Headquarters: Brea, California
CRD number: 29037
Registered since: February 5, 2024
Website: syndicatedcapital.com
Fee structure: Percentage of AUM, Fixed Fees, Other
Client types: Individuals56.02%
HNWI43.98%
Services: Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Syndicated Capital, Inc. is a corporate, independent broker‑dealer that also operates as an insurance broker and provides advisory services focused on individuals and families. The firm is SEC-registered (2024) and combines brokerage and insurance distribution with financial planning and portfolio management for individual and small-business clients. Its fee arrangements include percentage-of-AUM fees, fixed fees and other fee structures. Syndicated Capital reports it does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities67%
Public Funds/Mutual Funds18%
Non-Exchange Traded Equities9%
Cash & Cash Equivalents5%
Investment Grade Corp Bonds1%

Owners & executives

3 of 3

Kermit Wheeler
President, Chief Investment OfficerCRD 1048586
Stephen Kagawa
Founder and CEOCRD 1530761
Brian Vanwinkle
President, CEOCRD 2316075

Contacts

3 of 15

K Lee
Registered RepresentativeCRD 5939306
Mark Paul Juloya
Financial AdvisorCRD 5580057
K Lee
Executive Vice PresidentCRD 5587214

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

Primary office

Brea, CA

Orange

Location

Brea, CA

Headquartered in Brea, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.

Metro area: Los Angeles-Long Beach, CA
Region: West
County: Orange
Address: 135 S State College Blvd
Time zone: PT (UTC-8)
Office locations

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