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L.S.Y., INC, CRD 38
SAN RAMON, 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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| MONICA PADILLA | Certified Financial Planner | DANVILLE, CA | 29 | 41 | n/a | yes |
| NICHOLAS COWLES COCHRAN | n/a | SAN RAMON, CA | 29 | 37 | n/a | yes |
| FORREST RANDALL BLAIR | n/a | AUBURN, CA | 28 | 30 | n/a | yes |
| ROGER HAYDEN PRUITT | n/a | LOS BANOS, CA | 28 | 29 | n/a | yes |
| DAVID ROE DERBY | Certified Financial Planner|Chartered Financial Consultant | MODESTO, CA | 28 | 35 | n/a | yes |
| FREDERICK JOHN JOOSSE | n/a | SANTA ROSA, CA | 28 | 52 | n/a | yes |
| THOMAS LLOYD MCCORMICK | n/a | SAN RAMON, CA | BELMONT, CA | 28 | 52 | n/a | yes |
| JOEL BERNARD KNIGHT | n/a | MONTEREY, CA | 28 | 47 | n/a | yes |
| FREDERIC HUNTER DEVINNEY | n/a | WALNUT CREEK, CA | 26 | 59 | 1 | yes |
| SCOTT CHRISTOPHER MEHREN | n/a | ROCKLIN, CA | 24 | 26 | n/a | yes |
| RONALD GARRETT YEE | n/a | SAN RAMON, CA | 24 | 29 | n/a | yes |
| BRADLEY LEE HAUPT | n/a | PLEASANTON, CA | 20 | 47 | 1 | yes |
| PAULA JEAN ROSE | n/a | SAN RAMON, CA | El Sobrante, CA | 19 | 29 | 1 | yes |
| CHERYL LYNNE CHARNEY | n/a | PIEDMONT, CA | OAKLAND, CA | 17 | 42 | n/a | yes |
| JOHN EDWARD LOCOCO | n/a | SAN RAFAEL, CA | San Jose, CA | 16 | 25 | n/a | yes |
| EMMANUEL SABALE COMES | n/a | SAN RAMON, CA | 15 | 26 | 3 | yes |
| ROGER KENNETH COIT | n/a | WALNUT CREEK, CA | 15 | 41 | 1 | yes |
| WILLIAM HENRY GUTHREAU | n/a | CONCORD, CA | SAN RAMON, CA | 13 | 31 | 2 | yes |
| ANDREW BRADLEY HAUPT | n/a | Dublin, CA | 12 | 19 | n/a | yes |
| ERIC ANDREW LOOFBOURROW | n/a | SAN RAMON, CA | 10 | 18 | n/a | yes |
| CHRISTOPHER J LOCOCO | n/a | SAN RAFAEL, CA | San Jose, CA | 10 | 21 | 1 | yes |
| KENT ROBERT ALEXANDER | n/a | Woodstock, IL | SAN RAMON, CA | 9 | 37 | n/a | yes |
| RICHARD JAY COHN | n/a | SAN RAFAEL, CA | SAN RAMON, CA | 2 | 26 | 2 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| COCHRAN, NICHOLAS COWLES | VICE-PRESIDENT | Na | yes | 04/1992 | Mar 9, 2012 | Jun 26, 2024 |
| LEE, LARRY CHAIYA | CHAIRMAN OF THE BOARD | D | yes | 03/1973 | Mar 9, 2012 | Jun 26, 2024 |
| YEE, CLARENCE | PRESIDENT, CFO, COO, CHIEF COMPLIANCE OFFICER, TREASURER, SECRETARY, PFO, POO | C | yes | 03/1973 | Mar 9, 2012 | Jun 26, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| GEMMER, ROBERT ARDEN | n/a | State registered | $67.3M | Y | no | n/a |
| CRESTMONT ADVISORS, LLC | n/a | n/a | n/a | Y | no | n/a |
| JOEL B. KNIGHT | n/a | n/a | n/a | Y | no | n/a |
| KESSLER JOHN INGLE ITALO | n/a | State registered | n/a | Y | no | n/a |
| MOSHER FINANCIAL ADVISORS LLC | n/a | State registered | n/a | Y | no | n/a |
| ROGER KENNETH COIT | n/a | n/a | n/a | Y | no | n/a |
| SCOTT C. MEHREN | n/a | n/a | n/a | Y | no | n/a |
| THOMAS L. MCCORMICK | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SAN JOSE | CA | United States | 2 | yes |
| SAN RAMON | CA | United States | 2 | yes |
| Auburn | CA | United States | 1 | yes |
| Dublin | CA | United States | 1 | yes |
| GRASS VALLEY | CA | United States | 1 | yes |
| LOS BANOS | CA | United States | 1 | yes |
| Monterey | CA | United States | 1 | yes |
| Rocklin | CA | United States | 1 | yes |
| SAN RAFAEL | CA | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Jun 26, 2024 | $617M | $574M | 32 | 32 | 13 | n/a | n/a |
| 2023 | Jun 28, 2023 | $511M | $475M | 37 | 37 | 14 | n/a | n/a |
| 2022 | Jun 28, 2022 | $598M | $554M | 39 | 39 | 15 | n/a | n/a |
| 2021 | Jun 28, 2021 | $589M | $547M | 41 | 41 | 16 | n/a | n/a |
| 2020 | Jun 29, 2020 | $377M | $354M | 43 | 43 | 16 | n/a | n/a |
| 2019 | Jun 26, 2019 | $409M | $385M | 46 | 46 | 17 | n/a | n/a |
| 2018 | Jun 28, 2018 | $372M | $348M | 46 | 46 | 17 | n/a | n/a |
| 2017 | Jun 12, 2017 | $345M | $323M | 45 | 45 | n/a | n/a | n/a |
| 2016 | Jun 22, 2016 | $341M | $321M | 45 | 45 | n/a | n/a | n/a |
| 2015 | Jun 25, 2015 | $361M | $342M | 45 | 45 | n/a | n/a | n/a |
| 2014 | Jun 19, 2014 | $287M | $272M | 47 | 47 | n/a | n/a | n/a |
| 2013 | Jun 26, 2013 | $257M | $235M | 46 | 46 | n/a | n/a | n/a |
| 2012 | Jun 28, 2012 | $234M | $212M | n/a | n/a | 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 3.6% | 0 | 1 | 0 | 1 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $631M | $511M | 23.4% | $589M | 2.3% | 32 | 37 | 12 | 14 |