The Santa Cruz Company Llc
- Regulatory AUM
- $1.5M
- Discretionary
- $973K
- Clients
- 5
- Avg AUM / client
- $298K
- Accounts
- 11
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Oct 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 3 | $1.4M | 96.0% |
| Pension and profit sharing plans | 2 | $60.0K | 4.03% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Neil Sampat Gavande | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| Joshua Richard Williams | Registered representative | Jun 2025 (1y) | ||
| Salil Kumar Prasad | Registered representative | Jan 2026 (1y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/14/2026 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $1.5M (100% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Oct 01, 2026.
View current Form ADV (SEC/IAPD) ↗