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CRD 6247
LOS ANGELES, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| STEVEN CALABRIA | Chartered Financial Analyst | Huntington Bay, NY | LOS ANGELES, CA | 13 | 28 | n/a | yes |
| ROBERT DANIEL VIGNEAUX | Chartered Financial Analyst | Los Angeles, CA | Rye, NH | LOS ANGELES, CA | 13 | 23 | 3 | yes |
| WILLIAM BURKE PATTERSON | Certified Financial Planner | LOS ANGELES, CA | Baton Rouge, LA | 13 | 34 | 2 | yes |
| CHARLES ALFRED KING | Chartered Financial Analyst | LOS ANGELES, CA | Dallas , TX | 13 | 29 | n/a | yes |
| JOHN RICHARD MILLBERN | Certified Financial Planner|Chartered Financial Consultant|Chartered Financial Analyst | Indianapolis, IN | CARMEL, IN | SAN ANTONIO, TX | 13 | 24 | n/a | yes |
| ANDREW JASON MOSCARDINI | Certified Financial Planner | Tampa, FL | LOS ANGELES, CA | 13 | 33 | n/a | yes |
| MARK ALLEN SEAMAN | Chartered Financial Analyst | Los Angeles, CA | Severna Park, MD | LOS ANGELES, CA | 13 | 32 | 1 | yes |
| STEPHEN LEE CARUTHERS | Chartered Financial Analyst | IRVINE, CA | Foothill Ranch, CA | Leawood, KS | New York, NY | 13 | 26 | n/a | yes |
| JOHN ROBERT HARLEY | n/a | Los Angeles, CA | LOS ANGELES, CA | Manhasset, NY | 13 | 30 | 2 | yes |
| JILL MINEKO BOUDREAU | n/a | Duxbury, MA | LOS ANGELES, CA | 13 | 29 | 3 | yes |
| CHRISTOPHER MICHAEL DUNLAP | n/a | SAN ANTONIO, TX | San Antonio, TX | 13 | 27 | 1 | yes |
| ROBERT EMMETT GREELEY | n/a | LOS ANGELES, CA | Yorba Linda, CA | Los Angeles, CA | 13 | 27 | 2 | yes |
| PETER AVERY OLSEN | n/a | LOS ANGELES, CA | Avon, CT | 13 | 25 | 3 | yes |
| JAMES MICHAEL MAHER | n/a | LOS ANGELES, CA | Worthington, OH | 13 | 25 | 2 | yes |
| JASON MARTIN WEYBRECHT | Certified Financial Planner | LOS ANGELES, CA | Fernandina Beach, FL | 13 | 25 | 1 | yes |
| CYNTHIA MARIE THOMPSON | Certified Financial Planner|Chartered Financial Analyst | LOS ANGELES, CA | Ladera Ranch, CA | 13 | 25 | n/a | yes |
| JEFFREY KENNETH HUNKINS | n/a | Sammamish, WA | LOS ANGELES, CA | 13 | 24 | 1 | yes |
| MAREK BLASKOVIC | Certified Financial Planner | LOS ANGELES, CA | Miami , FL | 13 | 19 | n/a | yes |
| MARK CONRAD BARILE | n/a | LOS ANGELES, CA | SAN ANTONIO, TX | San Antonio, TX | 13 | 19 | 2 | yes |
| BRENDAN MICHAEL JONLAND | n/a | Summit, NJ | LOS ANGELES, CA | 13 | 20 | 1 | yes |
| JOSHUA STEVEN WOOD | n/a | Plainfield, IN | CARMEL, IN | 13 | 19 | 4 | yes |
| JOEL JAMES VANDERWEELE | n/a | Granger, IN | LOS ANGELES, CA | 13 | 16 | 2 | yes |
| MATTHEW PHILIP O'CONNOR | Chartered Financial Analyst | Manhattan Beach, CA | LOS ANGELES, CA | 13 | 24 | 2 | yes |
| ANDRE WOOD BOUVIER | Chartered Financial Analyst | LOS ANGELES, CA | Hopkinton, MA | 13 | 18 | 3 | yes |
| JAMES ROBERT MITCHELL | Chartered Financial Analyst | Little Rock, AR | LOS ANGELES, CA | 13 | 23 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | Na | yes | 08/2022 | Aug 30, 2022 | Dec 11, 2024 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | Na | yes | 09/2007 | Apr 5, 2013 | Dec 11, 2024 |
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | Stockholder | E | yes | 06/1979 | Apr 5, 2013 | Dec 11, 2024 |
| DESSNER, MADDI LYNN | SENIOR VICE PRESIDENT, DIRECTOR | Na | yes | 11/2023 | Dec 6, 2023 | Dec 11, 2024 |
| MCHALE, TIMOTHY WILLIAM | Secretary | Na | yes | 02/2011 | Apr 5, 2013 | Dec 11, 2024 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | Na | yes | 08/2018 | Apr 5, 2013 | Dec 11, 2024 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | Na | yes | 02/2024 | Jul 3, 2024 | Dec 11, 2024 |
| THE CAPITAL GROUP COMPANIES, INC. | Stockholder | E | yes | 07/1972 | Apr 5, 2013 | Dec 11, 2024 |
| TRIESSL, MICHAEL JAMES | Director | Na | yes | 08/2018 | Sep 14, 2018 | Dec 11, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | n/a | Asset manager | $3754B | Y | yes | n/a |
| CAPITAL BANK AND TRUST COMPANY | n/a | Asset manager | $139B | N | yes | n/a |
| CAPITAL INTERNATIONAL, INC. | n/a | Other adviser | $52B | N | yes | n/a |
| CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. | n/a | Independent wealth | $43B | N | yes | n/a |
| CAPITAL RESEARCH COMPANY | n/a | No RAUM reported | $0 | N | yes | n/a |
| CAPITAL INTERNATIONAL ASSET MANAGEMENT (CANADA), INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Carmel | In | United States | 127 | yes |
| SAN ANTONIO | TX | United States | 90 | yes |
| LOS ANGELES | CA | United States | 57 | yes |
| NEW YORK | NY | United States | 20 | no |
| Irvine | CA | United States | 8 | yes |
| Chicago | IL | United States | 7 | no |
| LOS ANGELES | CA | United States | 6 | no |
| SAN FRANCISCO | CA | United States | 3 | no |
| Miami | FL | United States | 3 | yes |
| Atlanta | Ga | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 7, 2026 | $0 | $0 | 911 | 699 | 10 | n/a | n/a |
| 2024 | Apr 22, 2025 | $0 | $0 | 852 | 655 | 10 | n/a | n/a |
| 2023 | Sep 28, 2023 | n/a | n/a | 825 | 494 | 8 | n/a | n/a |
| 2022 | Sep 28, 2022 | n/a | n/a | 865 | 469 | 8 | n/a | n/a |
| 2021 | Sep 28, 2021 | n/a | n/a | 825 | 255 | 7 | n/a | n/a |
| 2020 | Sep 28, 2020 | n/a | n/a | 806 | 454 | 3 | n/a | n/a |
| 2019 | Sep 27, 2019 | n/a | n/a | 774 | 420 | 7 | n/a | n/a |
| 2018 | Sep 28, 2018 | n/a | n/a | 707 | 364 | 6 | n/a | n/a |
| 2017 | Sep 28, 2017 | n/a | n/a | 706 | 574 | n/a | n/a | n/a |
| 2016 | Sep 28, 2016 | n/a | n/a | 711 | 332 | n/a | n/a | n/a |
| 2015 | Sep 25, 2015 | n/a | n/a | 712 | 299 | n/a | n/a | n/a |
| 2014 | Sep 29, 2014 | n/a | n/a | 696 | 313 | n/a | n/a | n/a |
| 2013 | Sep 17, 2013 | n/a | n/a | 650 | 240 | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 36 | 21 | 15 | 3.5% | 17 | 5 | 0 | 96 | 65 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | n/a | $0 | n/a | n/a | n/a | 911 | 852 | 10 | 10 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| EDWARD JONES | 2 | Apr 3, 2023 | Mar 7, 2024 | LOS ANGELES, CA | Team lift out | Other | 0.5% |