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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

HARBINGER ASSET MANAGEMENT, LLC

CRD 146811

RIVERSIDE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fa2cfbbb-2627-0072-04fd-ec5e8fa45cbc

Data as of Sep 24, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Dec 19, 2011 to Sep 24, 2012
9 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $19.2MItem 5.F on the latest filing (2012-09-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 291
SEC number: 801-69393
CRD: 146811
Filings on the tape: 9
First filed: Dec 19, 2011
Latest filed: Sep 24, 2012
Organised: Limited Liability Company, Michigan

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
PARTNERS ADVANTAGE INSURANCE SERVICES, LLC	Member	E	yes	03/2011	Dec 19, 2011	Sep 24, 2012
TIETZ, SCOTT, DARRYL	President	D	yes	06/1993	Dec 19, 2011	Sep 24, 2012
TOLMACS, CHRISTOPHER, THOMAS	MEMBER & CHIEF COMPLIANCE OFFICER	B	yes	03/2008	Dec 19, 2011	Sep 24, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PARTNERS ADVANTAGE INSURANCE SERVICES LLC	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Portage	Mi	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 13, 2012	$19.2M	$0	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$19.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FOUNDATIONS INVESTMENT ADVISORS LLC	7	Mar 24, 2016	Apr 5, 2016	PORTAGE, MI	Firm absorbed	Other	70.0%

Relationships

Controls (3)

← TIETZ, SCOTT, DARRYLOwnerPRESIDENT, ownership code D, individual
Dec 19, 2011 to presentfactForm ADV
← TOLMACS, CHRISTOPHER, THOMASOwnerMEMBER & CHIEF COMPLIANCE OFFICER, ownership code B, individual
Dec 19, 2011 to presentfactForm ADV
← PARTNERS ADVANTAGE INSURANCE SERVICES, LLCOwnerMEMBER, ownership code E, domestic entity
Dec 19, 2011 to presentfactForm ADV

Registered with (12)

← KALEM Joseph MACKEYAdvisorregistration: previous registration
Feb 12, 2016 to Apr 20, 2016factForm ADV
← Maria Regina T CruzAdvisorregistration: previous registration
Mar 19, 2012 to Apr 20, 2016factForm ADV
← ROBBIN PERRY BROOMEAdvisorregistration: previous registration
Oct 30, 2013 to Mar 24, 2016factForm ADV
← CRAIG ALAN ANDERSONAdvisorregistration: previous registration
Jul 23, 2010 to Mar 24, 2016factForm ADV
← PHILIP BRANDTAdvisorregistration: previous registration
Oct 4, 2012 to Mar 24, 2016factForm ADV
← PAUL HOWARD MILLERAdvisorregistration: previous registration
Mar 22, 2012 to Mar 24, 2016factForm ADV
← MICHAEL ANTHONY NOWAKAdvisorregistration: previous registration
May 6, 2011 to Mar 24, 2016factForm ADV
← GINNY SUE DELLAdvisorregistration: previous registration
Nov 24, 2010 to Mar 24, 2016factForm ADV
← RYAN J SNYDERAdvisorregistration: previous registration
Aug 1, 2011 to Mar 24, 2016factForm ADV
← BENJAMIN LORAIN TAYLORAdvisorregistration: previous registration
Apr 25, 2013 to Mar 24, 2016factForm ADV
← SCOTT ANDREW HIGGINSAdvisorregistration: previous registration
May 26, 2010 to Jun 20, 2012factForm ADV
← ROBERT WAYNE KNUTSENAdvisorregistration: previous registration
Mar 29, 2011 to Jun 16, 2011factForm ADV

Moved with (1)

→ FOUNDATIONS INVESTMENT ADVISORS LLCRegistered adviser7 advisors, firm absorbed, same day
Mar 24, 2016 to Apr 5, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fa2cfbbb-2627-0072-04fd-ec5e8fa45cbc
First observed: Dec 19, 2011
Last observed: Sep 24, 2012 170 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HARBINGER ASSET MANAGEMENT, LLC

CRD 146811

RIVERSIDE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fa2cfbbb-2627-0072-04fd-ec5e8fa45cbc

Data as of Sep 24, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:36 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PARTNERS ADVANTAGE INSURANCE SERVICES, LLC

Member

yes

03/2011

Dec 19, 2011

Sep 24, 2012

TIETZ, SCOTT, DARRYL

President

yes

06/1993

Dec 19, 2011

Sep 24, 2012

TOLMACS, CHRISTOPHER, THOMAS

MEMBER & CHIEF COMPLIANCE OFFICER

yes

03/2008

Dec 19, 2011

Sep 24, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PARTNERS ADVANTAGE INSURANCE SERVICES LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Portage

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 13, 2012

$19.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$19.2M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FOUNDATIONS INVESTMENT ADVISORS LLC

Mar 24, 2016

Apr 5, 2016

PORTAGE, MI

Firm absorbed

Other

70.0%