SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Ssi Investment Management LLC
Los Angeles, CA
CRD 104889
Firm filing updated March 28, 2026 ·
- $2.6BAssets
- 11Advisory staff
- 79Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- OtherYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
Who the firm serves
- Individuals24
- Pension and profit sharing plans24
- State or municipal government entities (including government pension plans)11
- Charities7
- High net worth individuals5
- and 1 more4
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 24 | $481.0 million |
| High net worth individuals | 5 | $35.2 million |
| Investment companies | 4 | $778.2 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 24 | $340.7 million |
| Charitable organizations | 7 | $76.1 million |
| State or municipal government entities (including government pension plans) | 11 | $565.5 million |
| Insurance companies | Fewer than 5 clients | $278.3 million |
| Corporations or other businesses not listed above | Fewer than 5 clients | $56,000 |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$2.6 billion
- Accounts79
- Discretionary$2.6 billion · 78 accounts
- Non-discretionary$191,000 · 1 accounts
People
- Employees25
- Advisory staff11
- Broker-dealer reps2
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 104889, SEC file 801-10544.
- Registered with the SEC as an investment advisor (status date on record: January 31, 1975).
Is Ssi Investment Management LLC a fiduciary?
Short answer: Ssi Investment Management LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 2 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.