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Pacific Oak Capital Markets

Full company profile

uuid000wehy

Namestring
Pacific Oak Capital Markets
Legal namestring
Pacific Oak Capital Markets
Websiteurl
pacificoakcapitalmarkets.com
Company typeenum
Private
Founded yearint
2018
Short descriptiontext

Pacific Oak Capital Markets is a Costa Mesa-based wholesaler and managing broker-dealer distributing alternative investment offerings to independent advisors through a multi-region senior vice president distribution network.

Operating statusenum
Operating
Ownership categoryenum
Headcount rangeband
11–50
akta.pro rankint
HeadquartersCosta Mesa, United States
HQ citystring
Costa Mesa
HQ countrystring
United States
HQ regionstring
North America
Markets served

Serves global market

Keyword5 values
alternative investment wholesaling, managing broker-dealer services, private placement distribution, alternative product sponsorship, financial advisor wholesale distribution
Industry2 codes
PRIMARYFSACAAAJ
Equity Syndication, Bookbuilding & Distribution
Financial & Insurance/Capital Markets & Securities/Equity Capital Markets (ECM)
SECONDARYFSAAAAAC
Independent Broker-Dealers (Retail Network)
Financial & Insurance/Asset & Wealth Management/Retail & Mass-Affluent Wealth Management
NAICS code1 code
  • Miscellaneous Intermediation52391
SIC code1 code
  • Security Brokers, Dealers & Flotation Companies6211
Product category
Broker-Dealer and Alternative Investment Distribution
Social media profiles1 record
Cost components5 values
Personnel, Operations, Marketing or Sales, Technology or R&D, Others
GTM typeB2B
B2B
Offering typeServices
Services
Core offering1 text field

Pacific Oak Capital Markets is a wholesaler and managing broker-dealer for alternative investment offerings. It provides supervisory, compliance, and distribution infrastructure to alternative investment product sponsors, enabling private placement products to be marketed and sold through independent financial advisors and third-party broker-dealer networks.

Differentiator
Functional benefit
Problem solved
Product and service2 records
1Managing Broker-Dealer Services for Alternative Investment Offerings
CategoryBroker-Dealer / Securities Distribution
Description

Provides FINRA-registered supervisory, compliance, and due-diligence infrastructure required by alternative investment product sponsors to distribute private placements, non-traded REITs, interval funds, DSTs, and similar vehicles through registered representatives. The service is targeted at product sponsors needing a registered managing broker-dealer.

2Wholesale Distribution of Alternative Investment Products
CategoryBroker-Dealer / Securities Distribution
Description

Wholesale placement of alternative investment offerings to independent financial advisors, RIAs, and third-party broker-dealer networks through a field force of regional wholesalers. Targeted at alternative investment product sponsors seeking distribution reach and at financial advisors seeking vetted alternatives product shelf.

No data
Peers10 records
1Cetera Financial Group
TypeBroad incumbent
Description

Large independent broker-dealer network with a substantial alternative investment shelf and dedicated alt distribution desk. Represents the scaled incumbent Pacific Oak Capital Markets competes against for advisor shelf access.

2Kestra Financial
TypeBroad incumbent
Description

Independent broker-dealer platform built through IBD acquisitions, with growing alternative investment capabilities and a sizable advisor channel. Comparable broad incumbent in alt distribution.

3Commonwealth Financial Network
TypeBroad incumbent
Description

Privately held independent broker-dealer with an active alternative investment menu and advisor-facing alt resources. Comparable broad incumbent competing in alt shelf access.

4LPL Financial
TypeBroad incumbent
Description

Largest independent broker-dealer in the U.S., with an expansive alternative investment platform and in-house alt research and supervision capabilities. Key competitive incumbent to any niche alt BD.

5CapWest Securities
TypeDirect peer
Description

Managing broker-dealer for alternative investment offerings with an advisor-channel wholesale model. Comparable to Pacific Oak Capital Markets in alt product supervision and external wholesaling.

6Benjamin Capital Securities
TypeDirect peer
Description

Niche broker-dealer active in alternative investment product distribution and supervision for sponsors. Comparable to Pacific Oak Capital Markets as a smaller, alt-focused BD.

7Preferred Capital Securities
TypeDirect peer
Description

Independent broker-dealer specializing in alternative investment product supervision and distribution for sponsors. Comparable to Pacific Oak Capital Markets in the niche managing-BD-for-alts role.

8Concorde Investment Services
TypeDirect peer
Description

Independent broker-dealer supporting advisors with access to alternative investment products alongside traditional offerings. Comparable as a smaller-scale BD competing in the same alt distribution space.

9Cambridge Investment Research
TypeBroad incumbent
Description

Major independent broker-dealer with a meaningful alternative investment product offering and advisor support resources. Comparable as a broad incumbent competing for alt distribution share.

10SC Distributors
TypeDirect peer
Description

A managing broker-dealer focused on distributing alternative investment products (non-traded REITs, BDCs, interval funds) through financial advisors. Closely comparable in business model to Pacific Oak Capital Markets as a wholesale/issuer-facing alt BD.

Market position
Customer concentration

Classification, Details

Ideal customer profile2 records

Each record includes

Profile, Firmographic size, Sales motion, Sales cycle length, Buying structure, Purchase trigger, Buyer persona, Geography, Industry vertical, Primary use case, Description, Pain points, Evidence proof points, Target buyer

Technology focused
No
API detail
Has APIbool
No

Docs URL, Description

AI maturity
App detail

Has app

Core technology
Revenue estimate
Valuation estimate
Number of profiles
Profiles7 records

Each record includes

Name, Designation, Designation category, Overview, Profile commentary, Source

No data
No data
Funding overview

Funding stage, Last funding date, Total funding USD

Funding rounds

Each record includes

Round, Amount USD, Date, Pre money valuation, Total investors, Investors, News

Investors

Each record includes

Name, Type, Date of entry, Rounds participated, Website

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Each record includes

Name, Acquisition type, Announced date, Completed date, Status, Website, News

Investment

Each record includes

Name, Round, Announced date, Lead investor, Website, News

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Pacific Oak Capital Markets

Broker-Dealer and Alternative Investment Distributionpacificoakcapitalmarkets.com

Pacific Oak Capital Markets is a Costa Mesa-based wholesaler and managing broker-dealer distributing alternative investment offerings to independent advisors through a multi-region senior vice president distribution network.

Pacific Oak Capital Markets firmographics

Firmographics
Name
Pacific Oak Capital Markets
Legal name
Pacific Oak Capital Markets
Website
https://pacificoakcapitalmarkets.com
Company type
Private
Founded year
2018
Operating status
Operating
Headcount range
11–50 employees
Short description
Pacific Oak Capital Markets is a Costa Mesa-based wholesaler and managing broker-dealer distributing alternative investment offerings to independent advisors through a multi-region senior vice president distribution network.
Ownership category
akta.pro rank

Pacific Oak Capital Markets industry classification

Industry
Product category
Broker-Dealer and Alternative Investment Distribution
NAICS
Miscellaneous Intermediation (52391)
SIC
Security Brokers, Dealers & Flotation Companies (6211)
akta.pro industry
PRIMARYFSACAAAJ
Equity Syndication, Bookbuilding & Distribution
Financial & Insurance/Capital Markets & Securities/Equity Capital Markets (ECM)
SECONDARYFSAAAAAC
Independent Broker-Dealers (Retail Network)
Financial & Insurance/Asset & Wealth Management/Retail & Mass-Affluent Wealth Management

Keywords

  • Alternative investment wholesaling
  • Managing broker-dealer services
  • Private placement distribution
  • Alternative product sponsorship
  • Financial advisor wholesale distribution

Where Pacific Oak Capital Markets is headquartered

Location

Headquarters

HQ city
Costa Mesa
HQ country
United States
HQ region
North America

Markets served

Pacific Oak Capital Markets business model

Business model
GTM type
B2B
Offering type
Services
Cost components
Personnel, Operations, Marketing or Sales, Technology or R&D, Others

Pacific Oak Capital Markets product offering

Product offering

Core offering

Pacific Oak Capital Markets is a wholesaler and managing broker-dealer for alternative investment offerings. It provides supervisory, compliance, and distribution infrastructure to alternative investment product sponsors, enabling private placement products to be marketed and sold through independent financial advisors and third-party broker-dealer networks.

Differentiator

Problem solved

Functional benefit

Products and services

  • Managing Broker-Dealer Services for Alternative Investment Offerings Provides FINRA-registered supervisory, compliance, and due-diligence infrastructure required by alternative investment product sponsors to distribute private placements, non-traded REITs, interval funds, DSTs, and similar vehicles through registered representatives. The service is targeted at product sponsors needing a registered managing broker-dealer.
  • Wholesale Distribution of Alternative Investment Products Wholesale placement of alternative investment offerings to independent financial advisors, RIAs, and third-party broker-dealer networks through a field force of regional wholesalers. Targeted at alternative investment product sponsors seeking distribution reach and at financial advisors seeking vetted alternatives product shelf.

Companies that use Pacific Oak Capital Markets

Customer profile

Ideal customer profiles2 records

Pacific Oak Capital Markets technology and API

Technology

Technology focussed No

API detail

Has API
No
API docs
API detail

Core technology

AI maturity

App detail

Pacific Oak Capital Markets competitors and assessment

Company assessment

Broad incumbents

  • Cetera Financial Group: Large independent broker-dealer network with a substantial alternative investment shelf and dedicated alt distribution desk. Represents the scaled incumbent Pacific Oak Capital Markets competes against for advisor shelf access.
  • Kestra Financial: Independent broker-dealer platform built through IBD acquisitions, with growing alternative investment capabilities and a sizable advisor channel. Comparable broad incumbent in alt distribution.
  • Commonwealth Financial Network: Privately held independent broker-dealer with an active alternative investment menu and advisor-facing alt resources. Comparable broad incumbent competing in alt shelf access.
  • LPL Financial: Largest independent broker-dealer in the U.S., with an expansive alternative investment platform and in-house alt research and supervision capabilities. Key competitive incumbent to any niche alt BD.
  • Cambridge Investment Research: Major independent broker-dealer with a meaningful alternative investment product offering and advisor support resources. Comparable as a broad incumbent competing for alt distribution share.

Direct peers

  • CapWest Securities: Managing broker-dealer for alternative investment offerings with an advisor-channel wholesale model. Comparable to Pacific Oak Capital Markets in alt product supervision and external wholesaling.
  • Benjamin Capital Securities: Niche broker-dealer active in alternative investment product distribution and supervision for sponsors. Comparable to Pacific Oak Capital Markets as a smaller, alt-focused BD.
  • Preferred Capital Securities: Independent broker-dealer specializing in alternative investment product supervision and distribution for sponsors. Comparable to Pacific Oak Capital Markets in the niche managing-BD-for-alts role.
  • Concorde Investment Services: Independent broker-dealer supporting advisors with access to alternative investment products alongside traditional offerings. Comparable as a smaller-scale BD competing in the same alt distribution space.
  • SC Distributors: A managing broker-dealer focused on distributing alternative investment products (non-traded REITs, BDCs, interval funds) through financial advisors. Closely comparable in business model to Pacific Oak Capital Markets as a wholesale/issuer-facing alt BD.

Market position

Customer concentration

Pacific Oak Capital Markets social profiles

Digital presence

Pacific Oak Capital Markets financial estimates

Financial estimate

Revenue estimate

Valuation estimate

Pacific Oak Capital Markets leadership team

Management profile

Number of profiles

Profiles7 records

Pacific Oak Capital Markets funding detail

Funding detail

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

Pacific Oak Capital Markets M&A and investment

M&A and investment

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Pacific Oak Capital Markets

What does Pacific Oak Capital Markets do?

Pacific Oak Capital Markets is a wholesaler and managing broker-dealer for alternative investment offerings. It provides supervisory, compliance, and distribution infrastructure to alternative investment product sponsors, enabling private placement products to be marketed and sold through independent financial advisors and third-party broker-dealer networks.

When was Pacific Oak Capital Markets founded?

Pacific Oak Capital Markets was founded in 2018. It employs 11 to 50 people.

Where is Pacific Oak Capital Markets based?

Pacific Oak Capital Markets is headquartered in Costa Mesa, United States, in the North America region.

Who are Pacific Oak Capital Markets's main competitors?

Broad incumbents on record are Cetera Financial Group, Kestra Financial, Commonwealth Financial Network, LPL Financial and Cambridge Investment Research. Direct peers are CapWest Securities, Benjamin Capital Securities, Preferred Capital Securities, Concorde Investment Services and SC Distributors.

Does Pacific Oak Capital Markets have an API?

No public API is recorded for Pacific Oak Capital Markets.

What industry is Pacific Oak Capital Markets in?

Pacific Oak Capital Markets's product category is Broker-Dealer and Alternative Investment Distribution. Its primary akta.pro industry code is FSACAAAJ, Equity Syndication, Bookbuilding & Distribution, with a secondary code of FSAAAAAC, Independent Broker-Dealers (Retail Network). Its NAICS code is 52391 and its SIC code is 6211.

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Live signals
PR NewswirePacific Oak Capital Markets Hires Industry Veteran Mike Baker as Senior Regional Vice PresidentPacific Oak Capital Markets, an alternative investment distributor, announced the hiring of veteran financial services professional Mike Baker as Senior Regional Vice President to build and maintain relationships with financial intermediaries across eight Midwest states. Baker brings nearly 25 years of industry experience, having most recently served as a financial advisor at LPL Financial and previously raising more than $850 million in alternative investment sales as an external wholesaler for firms including CNL Securities, Moody National and Bluerock.PR NewswirePacific Oak Capital Markets Hires Jim Kenney as Senior Regional Vice President for the Northwest TerritoryPacific Oak Capital Markets announced the appointment of Jim Kenney as Senior Regional Vice President for the Northwest Territory to expand its distribution network. Kenney, a financial services veteran with over 15 years of experience, will focus on building relationships with broker-dealers and RIAs across multiple western states. This hiring supports Pacific Oak's stated period of significant growth in sales and distribution.PR NewswirePacific Oak Capital Markets Hires Derek Mazza as Regional Vice President for the Northeast TerritoryPacific Oak Capital Markets, an alternative investment distributor, has hired Derek Mazza as Regional Vice President for the Northeast Territory, covering eight U.S. states including Connecticut, Massachusetts, and New York. Mazza brings over 18 years of financial services experience, most recently serving as Senior Vice President at Cantor Fitzgerald where he led sales in New England and Upstate New York. The company stated that Mazza's track record in alternative investments and expertise in areas including REITs, private equity, and opportunity zones will serve the wealth advisors they work with.PR NewswirePacific Oak Capital Markets Hires Geoff Ihm to Lead Sales in the Pacific NorthwestPacific Oak Capital Markets, an alternative investment distributor, has hired Geoff Ihm as senior regional vice president to lead sales efforts in the Pacific Northwest region. Ihm brings over 20 years of financial services experience, most recently from Gladstone Securities and previously from Black Creek Group where he helped raise over $9 billion in equity capital for commercial real estate offerings. The company stated his expertise will be used to build relationships with financial intermediaries across wirehouse, independent broker-dealer, and RIA communities.PR NewswireHans Henselman Rejoins Pacific Oak Capital Markets as Chief Executive OfficerHans Henselman has rejoined Pacific Oak Capital Markets, LLC as Chief Executive Officer, responsible for overall firm strategy and guidance across the organization. Henselman previously served as Chief Compliance Officer at Pacific Oak Capital Advisors and Pacific Oak Capital Markets, and was an instrumental part of the leadership team that formed Pacific Oak Capital Markets in 2019, bringing over 25 years of experience in compliance, operations, sales, and financial distribution. In his new role, Henselman will focus on product development, distribution, business planning, compliance, operations, and oversight of the firm's wholesaling operations.PR NewswireSmartStop REIT Advisors Partners with Pacific Oak Capital Markets as Dealer ManagerSmartStop REIT Advisors, LLC announced a partnership with Pacific Oak Capital Markets LLC to serve as the dealer manager for potential investment offerings the firm may sponsor. Pacific Oak Capital Markets is a wholesaler and managing broker-dealer for alternative investment offerings that has raised more than $7.0 billion of investor capital to-date. SmartStop Self Storage REIT, Inc. is the tenth-largest self storage company in the U.S. with approximately $1.7 billion of real estate assets under management, including 151 properties across 19 states and Toronto, Canada.PR NewswireIndustry Veteran Jeffrey Namendorf Joins Pacific Oak Capital Markets Group as Senior Regional Vice PresidentPacific Oak Capital Markets Group announced the hiring of Jeffrey Namendorf as senior regional vice president to lead sales operations in Texas, Louisiana, Arkansas, and Oklahoma. This appointment supports the company's strategic expansion into new markets by leveraging Namendorf’s three decades of experience in financial services and alternative investment distribution.PR NewswirePacific Oak Capital Markets Group Expands Sales Team With Addition of Chris Lockwood as Senior Regional Vice PresidentPacific Oak Capital Markets Group, an alternative investment distributor, announced the hiring of Chris Lockwood as Senior Regional Vice President for the Southeast region, covering Florida, Georgia, Mississippi, Alabama, and South Carolina. Lockwood brings 12 years of financial industry experience, having previously held wholesaler roles at Vanguard Group, CIM Group, and Cole Capital. The company stated this hire is part of its strategic expansion of sales and distribution efforts in the alternative investment space.PR NewswirePacific Oak Capital Markets Group Expands Sales Team with Two New AppointmentsPacific Oak Capital Markets Group announced the appointment of Rigo Medina as senior regional vice president for Southern California and Erica Blue as senior internal sales associate covering the Four Corners region. Both new hires bring over a decade of industry experience, with Medina previously holding sales leadership roles at CION Investments, Resource Real Estate, and KBS Capital Markets Group, and Blue having worked in internal wholesaling at Legendary Capital, Select Capital Corporation, and Thompson National Properties. CEO Mick Manning stated the appointments support the firm's strategic expansion of its sales and distribution efforts in alternative investment products.PR NewswirePacific Oak Capital Markets Group Expands Sales Team and Appoints Travis Hamlin as Regional Vice President, Four Corners RegionPacific Oak Capital Markets Group appointed Travis Hamlin as regional vice president for the Four Corners region to expand its sales team. In this role, Hamlin will work with financial advisors in Colorado, Utah, Arizona, and New Mexico to educate them on the company's real estate-related investment products. This hire leverages Hamlin's 16 years of experience in investment product sales and marketing.