AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $9.7 |
| Non-Discretionary | $0.3 |
| Total | $10.0 |
| Client | AUM |
|---|---|
| Retail | $9.8 |
| Pooled | $0.0 |
| Institutional | $0.2 |
| Total | $10.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 679 | $9.8 |
| Average Individual AUM | $14,474,163 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 679 | $9.8 |
| Average Retail AUM | $14,474,163 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| BANK OF AMERICA, NATIONAL ASSOCIATION | CHARLOTTE-NC-USA | $5.8 |
| CHARLES SCHWAB & CO., INC. | WESTLAKE-TX-USA | $2.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $10.0 |
| Retail SMA AUM | $9.8 |
| Institutional SMA AUM | $0.2 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 73% | $7.3 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 12% | $1.2 |
| Municipal | 1% | $0.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 9% | $0.9 |
| HY Credit | 1% | $0.1 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 1% | $0.1 |
| Other Pools | 0% | $0.0 |
| Cash | 4% | $0.4 |
| Other | 1% | $0.1 |
| Total | 102% | $10.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
10 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| MARK FOUNDOS | LOS ANGELES | CA | S63|1998-07-01 | CHARTERED FINANCIAL ANALYST | |||||
| ELIZABETH MARGALIS | LOS ANGELES | CA | CHARTERED FINANCIAL ANALYST | ||||||
| DAVID CLARK | LOS ANGELES | CA | S63|1986-10-31 | CHARTERED FINANCIAL ANALYST | |||||
| KWANG NO | LOS ANGELES | CA | CHARTERED FINANCIAL ANALYST | ||||||
| MONICA BAIER | LOS ANGELES | CA | CHARTERED FINANCIAL ANALYST | ||||||
| ROBERT SPEIDEL | LOS ANGELES | CA | CHARTERED FINANCIAL ANALYST | ||||||
| DEBORAH GRIFFITH | LOS ANGELES | CA | CHARTERED FINANCIAL ANALYST | ||||||
| JOHN APRILL | LOS ANGELES | CA | CHARTERED FINANCIAL ANALYST | ||||||
| JAMES WARD | LOS ANGELES | CA | CHARTERED FINANCIAL ANALYST | ||||||
| OLIVER CRARY | LOS ANGELES | CA | CHARTERED FINANCIAL ANALYST | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $10.0 | $0.0 | 0% | 18 | 0 | 0% |
| 2024-04-02 | $10.0 | $0.0 | 0% | 18 | 0 | 0% |
| 2023-04-04 | $8.7 | $1.3 | 15% | 18 | 0 | 0% |
| 2022-04-01 | $10.3 | -$0.2 | -2% | 18 | 0 | 0% |
| 2021-04-05 | $9.0 | $1.1 | 12% | 18 | 0 | 0% |
| 2020-04-01 | $8.0 | $2.1 | 26% | 22 | -4 | -18% |
| 2019-04-01 | $6.9 | $3.1 | 45% | 22 | -4 | -18% |
| 2018-04-02 | $7.2 | $2.8 | 39% | 19 | -1 | -5% |
| 2017-04-01 | $6.8 | $3.3 | 48% | 19 | -1 | -5% |
| 2016-04-01 | $6.8 | $3.3 | 48% | 18 | 0 | 0% |
| 2015-04-01 | $6.7 | $3.3 | 49% | 18 | 0 | 0% |
| 2014-04-01 | $6.4 | $3.7 | 58% | 18 | 0 | 0% |
| 2013-04-01 | $5.9 | $4.2 | 71% | 17 | 1 | 6% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| CA, AZ-03/29/2021, CA-01/10/1970, CO-03/29/2021, FL-03/29/2021, IL-04/06/2021, LA-03/29/2021, MA-02/26/2024, NC-01/04/2001, NH-03/21/2017, NJ-03/10/2023, NV-03/10/2023, NY-03/21/2017, OR-03/21/2017, TX-03/21/2017, UT-03/29/2021, WA-03/10/2022 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV