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DANIEL INVESTMENT ASSOCIATES, LLC

A66
CRD 157284·SEC 801-77862·SANTA BARBARA, CA
AUM
$225.3M
$100M-$500M
Est. Revenue
$2.3M
@ 1% on AUM
Est. EBITDA
$676K
@ 30% margin
Est. Deal Value
$5.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
DANIEL INVESTMENT ASSOCIATES, LLC
CRD
157284
SEC file #
801-77862
EIN
811009402
DBA names
—

Economics

AUM
$225.3M
AUM band
$100M-$500M
AUM trajectory
'20'26
$271.0M → $225.3M▼ -17%
Client mix
Individuals High Net Worth28
Charitable Organizations5

Operations

Employees (total)
1
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'20'26
5 advisors → 1 advisors▼ -80%
Primary office
SANTA BARBARA CA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUM

Filings

Latest ADV filing
03/18/2026
ADV-W filed at
—
Website
diasocal.com

Compliance

Disclosures (firm)
4
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
VAN WYK, GREGORY, DANIEL
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
VAN WYK, GREGORY, DANIEL
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
DIASOCAL.COM
Rdap Domain Creation Date
2025-06-13T00:33:03Z
Rdap Firm Age Years
1
Rdap Firm Age Band
<5y
Rdap Registrar
eNom, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001671607
Edgar Registered
Yes
Edgar Filing Count
3
Edgar First Filing Date
2016-04-12
Edgar Last Filing Date
2018-03-16
Edgar Form D Count
3
Edgar Form D Offerings
2018-03-162018-03-16 · 0001671607-18-000001
2017-11-302017-11-30 · 0001671607-17-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
55 FIFTH AVENUE15TH FLOORNEW YORK, NY 10003
Business
55 FIFTH AVENUE15TH FLOORNEW YORK, NY 10003
Edgar EIN
811009402
Edgar Recent Filings
D/A2018-03-16 · 0001671607-18-000001
D/A2017-11-30 · 0001671607-17-000001
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-06-13T00:33:03Z
Rdap Domain Last Changed
2026-05-15T06:19:52Z
Rdap Nameservers
Dns1.name-services.comDns2.name-services.comDns3.name-services.comDns4.name-services.com
Rdap Secure Dns Enabled
No
Rdap Status
Active
Top Owner CRD
4603281
Trust Company Affiliate
No

People (1)

1
VAN WYK, GREGORY, DANIEL
IAR · Direct Owner · 87.5%
4603281