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CRD 110131
WESTLAKE VILLAGE, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| FRANKLE, MIMI, (NMN) | Trustee | F | yes | 07/2005 | Mar 31, 2012 | Mar 19, 2019 |
| FRANKLE, NEAL, (NMN) | Trustee | F | yes | 07/2005 | Mar 31, 2012 | Mar 19, 2019 |
| FRANKLE, NEAL, (NMN) | PRESIDENT, CHIEF COMPLIANCE OFFICER | Na | yes | 06/1999 | Mar 31, 2012 | Mar 19, 2019 |
| FRANKLE, MIMI, (NMN) | SECRETARY, CHIEF FINANCIAL OFFICER, TREASURER | Na | no | 03/2011 | Mar 31, 2012 | Mar 19, 2019 |
| NEAL FRANKLE AND MIMI FRANKLE FAMILY TRUST | Shareholder | E | no | 07/2005 | Mar 31, 2012 | Mar 19, 2019 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LOS ANGELES | CA | United States | 5 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2018 | Mar 19, 2019 | $126M | $101M | 3 | 1 | 1 | n/a | n/a |
| 2011 | Mar 31, 2012 | $83.5M | $67.7M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2018 | $126M | n/a | n/a | n/a | n/a | 3 | n/a | 1 | n/a |