CORIENT CAPITAL PARTNERS, LLC

HTTPS://WWW.LINKEDIN.COM/COMPANY/6643162/ NEWPORT BEACH, CA Investment Advisor How do I update this listing?

Corient Capital Partners is based out of Newport Beach. Corient Capital Partners is a large advisory firm with 372 clients and discretionary assets under management (AUM) of $1,739,801,037 (Form ADV from 2019-07-08). Their last reported 13F filing for Q3 2019 included $706,150,000 in managed 13F securities and a top 10 holdings concentration of 27.23%. Corient Capital Partners's largest holding is Vanguard S&P 500 Growth ETF with shares held of 280,649. Corient Capital Partners has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 14 13F filings

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67

S&P 500
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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $706.15 Million
  • Prior Market Value $652.069 Million
  • New Purchases74 stocks
  • Additional Purchases256 stocks
  • Sold out of22 stocks
  • Reduced holdings in106 stocks
  • Top 10 Holdings % 27.23 %
  • Turnover % [1]:20.92%
  • Turnover Alt % [2]: 12.23 %
  • Time Held Top20:5.65 quarters
  • Time Held Top10:6.60 quarters
  • Time Held All:6.27 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 6.32%
Performance Last 4 Quarters: 13.09%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR/A (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CORIENT CAPITAL PARTNERS, LLC
500 NEWPORT CENTER DRIVE SUITE 700
NEWPORT BEACH CA    92660
Country: United States

Business Phone: (949) 945-2750
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 22
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities:
Total Number of Clients: 372
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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CORIENT CAPITAL PARTNERS, LLC

ownership team - last updated 2019-07-08
Name Title Start Date Direct/Indirect % Ownership
COPPS, CHRISTOPHER, ALDEN HEAD OF ALTERNATIVES 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
HENDERSON, DARREN, LEE HEAD OF ADVISORY 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC MANAGING MEMBER direct 2015-09-01
PHELPS, MICHAEL, RANDALL CHIEF FINANCIAL OFFICER 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
ROONEY, JAMES, ALBERT CHIEF EXECUTIVE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FREESTONE CAPITAL MANAGEMENT, LLC MANAGER / CHIEF EXECUTIVE OFFICER direct 2012-11-01
FREESTONE CAPITAL MANAGEMENT, LLC SENIOR PARTNER / CHIEF EXECUTIVE OFFICER direct 2013-01-01
FREESTONE CAPITAL MANAGEMENT, LLC MANAGER indirect 2013-01-01
CORIENT CAPITAL PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2017-07-01
SULTANIAN, DHEERAJ GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORIENT CAPITAL PARTNERS, LLC GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 2018-03-01
CORIENT CAPITAL PARTNERS, LLC MEMBER indirect 2018-05-01
TENNEY, JONATHAN, PAUL PARTNER 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
STIMPSON, ALEXANDER, FARNUM CHIEF INVESTMENT OFFICER 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
HASSENPLUG, GORDON PARTNER 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-09-01
WALTERS, GREGORY, JAMES HEAD OF FINANCIAL PLANNING 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
CORIENT HOLDINGS, LLC MANAGING MEMBER 05/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
CORIENT CAPITAL PARTNERS, LLC MANAGING MEMBER direct 2018-05-01
CORIENT FOUNDERS, LLC MEMBER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORIENT CAPITAL PARTNERS, LLC MEMBER direct 2018-05-01
CORIENT CAPITAL PARTNERS, LLC MEMBER indirect 2018-05-01
CORIENT FOUNDERS, LLC MEMBER CORIENT HOLDINGS, LLC 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CORIENT CAPITAL PARTNERS, LLC MEMBER direct 2018-05-01
CORIENT CAPITAL PARTNERS, LLC MEMBER indirect 2018-05-01
COPPS, CHRISTOPHER, ALDEN MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
HENDERSON, DARREN, LEE MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC MANAGING MEMBER direct 2015-09-01
WALTERS, GREGORY, JAMES MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
PHELPS, MICHAEL, RANDALL MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
TENNEY, JONATHAN, PAUL MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
HASSENPLUG, GORDON MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-09-01
STIMPSON, ALEXANDER, FARNUM MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
ROONEY, JAMES, ALBERT MEMBER CORIENT HOLDINGS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
FREESTONE CAPITAL MANAGEMENT, LLC MANAGER / CHIEF EXECUTIVE OFFICER direct 2012-11-01
FREESTONE CAPITAL MANAGEMENT, LLC SENIOR PARTNER / CHIEF EXECUTIVE OFFICER direct 2013-01-01
FREESTONE CAPITAL MANAGEMENT, LLC MANAGER indirect 2013-01-01
CORIENT CAPITAL PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2017-07-01
SULTANIAN, DHEERAJ MEMBER CORIENT HOLDINGS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
CORIENT CAPITAL PARTNERS, LLC GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 2018-03-01
CORIENT CAPITAL PARTNERS, LLC MEMBER indirect 2018-05-01
HALLADAY, JACOB, A MEMBER CORIENT HOLDINGS, LLC 07/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
CORIENT CAPITAL PARTNERS, LLC MEMBER indirect 2019-07-01

CORIENT CAPITAL PARTNERS, LLC

ownership team - last updated 2019-03-19
Name Title Start Date Direct/Indirect % Ownership
ROONEY, JAMES, ALBERT CHIEF EXECUTIVE OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FREESTONE CAPITAL MANAGEMENT, LLC MANAGER / CHIEF EXECUTIVE OFFICER direct 2012-11-01
FREESTONE CAPITAL MANAGEMENT, LLC SENIOR PARTNER / CHIEF EXECUTIVE OFFICER direct 2013-01-01
FREESTONE CAPITAL MANAGEMENT, LLC MANAGER indirect 2013-01-01
CORIENT CAPITAL PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2017-07-01
COPPS, CHRISTOPHER, ALDEN HEAD OF ALTERNATIVES 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
HENDERSON, DARREN, LEE HEAD OF ADVISORY 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC MANAGING MEMBER direct 2015-09-01
PHELPS, MICHAEL, RANDALL CHIEF FINANCIAL OFFICER 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
SULTANIAN, DHEERAJ GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORIENT CAPITAL PARTNERS, LLC GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 2018-03-01
CORIENT CAPITAL PARTNERS, LLC MEMBER indirect 2018-05-01
TENNEY, JONATHAN, PAUL PARTNER 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
STIMPSON, ALEXANDER, FARNUM CHIEF INVESTMENT OFFICER 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
HASSENPLUG, GORDON PARTNER 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-09-01
WALTERS, GREGORY, JAMES HEAD OF FINANCIAL PLANNING 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
CORIENT HOLDINGS, LLC MANAGING MEMBER 05/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
CORIENT CAPITAL PARTNERS, LLC MANAGING MEMBER direct 2018-05-01
CORIENT FOUNDERS, LLC MEMBER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORIENT CAPITAL PARTNERS, LLC MEMBER direct 2018-05-01
CORIENT CAPITAL PARTNERS, LLC MEMBER indirect 2018-05-01
CORIENT FOUNDERS, LLC MEMBER CORIENT HOLDINGS, LLC 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CORIENT CAPITAL PARTNERS, LLC MEMBER direct 2018-05-01
CORIENT CAPITAL PARTNERS, LLC MEMBER indirect 2018-05-01
COPPS, CHRISTOPHER, ALDEN MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
HENDERSON, DARREN, LEE MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC MANAGING MEMBER direct 2015-09-01
PHELPS, MICHAEL, RANDALL MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
TENNEY, JONATHAN, PAUL MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
HASSENPLUG, GORDON MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-09-01
WALTERS, GREGORY, JAMES MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
STIMPSON, ALEXANDER, FARNUM MEMBER CORIENT FOUNDERS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
ROONEY, JAMES, ALBERT MEMBER CORIENT HOLDINGS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
FREESTONE CAPITAL MANAGEMENT, LLC MANAGER / CHIEF EXECUTIVE OFFICER direct 2012-11-01
FREESTONE CAPITAL MANAGEMENT, LLC SENIOR PARTNER / CHIEF EXECUTIVE OFFICER direct 2013-01-01
FREESTONE CAPITAL MANAGEMENT, LLC MANAGER indirect 2013-01-01
CORIENT CAPITAL PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2017-07-01
SULTANIAN, DHEERAJ MEMBER CORIENT HOLDINGS, LLC 05/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
CORIENT CAPITAL PARTNERS, LLC GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER direct 2018-03-01
CORIENT CAPITAL PARTNERS, LLC MEMBER indirect 2018-05-01

CORIENT CAPITAL PARTNERS, LLC

ownership team - last updated 2017-09-01
Name Title Start Date Direct/Indirect % Ownership
ROONEY, JAMES, ALBERT CHIEF EXECUTIVE OFFICER 07/01/2017 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FREESTONE CAPITAL MANAGEMENT, LLC MANAGER / CHIEF EXECUTIVE OFFICER direct 2012-11-01
FREESTONE CAPITAL MANAGEMENT, LLC SENIOR PARTNER / CHIEF EXECUTIVE OFFICER direct 2013-01-01
FREESTONE CAPITAL MANAGEMENT, LLC MANAGER indirect 2013-01-01
CORIENT CAPITAL PARTNERS, LLC CHIEF EXECUTIVE OFFICER direct 2017-07-01
WALTERS, GREGORY, J PARTNER 09/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
HASSENPLUG, GORDON CHIEF COMPLIANCE OFFICER 09/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-09-01
STIMPSON, ALEXANDER, FARNUM PARTNER 09/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
TENNEY, JONATHAN, PAUL PARTNER 09/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
PHELPS, MICHAEL, R PARTNER 09/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01
HENDERSON, DARREN, LEE MANAGING MEMBER 09/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC MANAGING MEMBER direct 2015-09-01
COPPS, CHRISTOPHER, ALDEN PARTNER 09/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
DAWN ADVISORS, LLC PARTNER direct 2015-09-01

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