DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
American Investors Co
Legal name L.S.Y., Inc
Latest filing Jun 26, 2026
First filing on the tape Mar 9, 2012 · 24 filings
SEC status approved since Aug 22, 2000
RAUM
$631M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$597M individuals and HNW
Advisors
28
registered through the firm on IAPD
RAUM per advisor
$22.5M
derived; firm RAUM over IAPD count
Employees
32
32 advisory (5.B.1)
Offices
12
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$631M as of Jun 26, 2026
Jun 28, 2012$234M then
HNW client RAUM$434M as of Jun 26, 2026
Jun 28, 2018$166M then
State-registered IARs (5.B.3)30 as of Jun 26, 2026
Jun 26, 201344 then
Employees (5.A)32 as of Jun 26, 2026
Jun 26, 201346 then
Private funds: no history
RAUM +23% over the last fiscal year+2.3% a year over threeIARs 35 to 30offices 14 to 12
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $22.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $405,834derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.2derived13 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$434M69%
- Individuals$163M26%
- Pension and profit-sharing plans$25.3M4.0%
- Corporations and businesses$4.9M0.8%
- Charitable organizations$3.0M0.5%
- Individual clients
- 548reported
- HNW clients
- 211reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,554reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=true related_bank=false bd_reps=32.0derived
Advisors registered through the firm
23 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Nicholas Cowles Cochran | San Ramon, Ca | Jul 8, 1997 | 37 y | 0 |
| Monica PadillaCertified Financial Planner | Danville, Ca | Jul 8, 1997 | 41 y | 0 |
| Forrest Randall Blair | Auburn, Ca | Jan 15, 1998 | 30 y | 0 |
| Thomas Lloyd Mccormick | San Ramon, Ca | Mar 30, 1998 | 52 y | 0 |
| David Roe DerbyCertified Financial Planner, Chartered Financial Consultant | Modesto, Ca | Mar 30, 1998 | 35 y | 0 |
| Frederick John Joosse | Santa Rosa, Ca | Mar 30, 1998 | 52 y | 0 |
| Roger Hayden Pruitt | Los Banos, Ca | Mar 30, 1998 | 29 y | 0 |
| Joel Bernard Knight | Monterey, Ca | Jul 30, 1998 | 47 y | 0 |
| Frederic Hunter Devinney | Walnut Creek, Ca | Sep 15, 2000 | 59 y | 1 |
| Scott Christopher Mehren | Rocklin, Ca | Nov 28, 2001 | 26 y | 0 |
| Ronald Garrett Yee | San Ramon, Ca | May 2, 2002 | 29 y | 0 |
| Bradley Lee Haupt | Pleasanton, Ca | Jul 7, 2006 | 47 y | 1 |
| Paula Jean Rose | San Ramon, Ca | Aug 30, 2007 | 29 y | 1 |
| Cheryl Lynne Charney | Piedmont, Ca | Feb 9, 2009 | 42 y | 0 |
| John Edward Lococo | San Rafael, Ca | Aug 9, 2010 | 25 y | 0 |
| Emmanuel Sabale Comes | San Ramon, Ca | Jan 12, 2011 | 26 y | 3 |
| Roger Kenneth Coit | Walnut Creek, Ca | Aug 31, 2011 | 41 y | 1 |
| William Henry Guthreau | Concord, Ca | May 20, 2013 | 31 y | 2 |
| Andrew Bradley Haupt | Dublin, Ca | Jan 17, 2014 | 19 y | 0 |
| Eric Andrew Loofbourrow | San Ramon, Ca | Oct 9, 2015 | 18 y | 0 |
| Christopher J Lococo | San Rafael, Ca | Jul 26, 2016 | 21 y | 1 |
| Kent Robert Alexander | Woodstock, Il | Sep 19, 2017 | 37 y | 0 |
| Richard Jay Cohn | San Rafael, Ca | Dec 4, 2023 | 26 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 3.6% of current headcount2 left over 36 months
Left, latest
- Isaac Lorenzo Zalkin to Neuberger Berman Bd LLCJul 30, 2026 · Other
- Stacy Anne Graham to LPL Financial LLCJul 17, 2024 · RIA to affiliated broker-dealer or bank
- Brett Gabriel Williams to LPL Financial LLCJul 24, 2023 · RIA to affiliated broker-dealer or bank
- Jiyoung I Chung to Fidelity Personal And Workplace AdvisorsAug 12, 2022 · RIA to affiliated broker-dealer or bank
- Jessica Lee Schafer to J.P. King Advisors, Inc.Jul 15, 2016 · Other
- Richard Jay Cohn to Crestmont Advisors, LLC.Apr 16, 2013 · Other
- Gal Gali Horev to B. Riley Wealth Advisors, Inc.Dec 31, 2011 · Other
- Ronald Joseph Weintraub to Workman Securities CorporationMar 1, 2006 · Other
Joined, latest
- Richard Jay Cohn from Crestmont Advisors, LLC.Dec 4, 2023 · Other
- Christopher J Lococo from Morgan StanleyJul 26, 2016 · Other
- Jiyoung I Chung from Transamerica Financial Advisors, LLCSep 15, 2015 · Other
- William Henry Guthreau from MML Investors Services, LLCMay 20, 2013 · Other
- Robert Arden Gemmer from Associated Planners Investment Advisory IncJun 28, 2012 · Other
- Roger Kenneth Coit from Coit-Gemmer Capital ManagementAug 31, 2011 · Other
- Emmanuel Sabale Comes from Investment Advisors International, Inc.Jan 12, 2011 · Other
- Jessica Lee Schafer from Alamo CapitalAug 23, 2010 · Other
- Gal Gali Horev from Private Asset Advisors, Inc.Aug 9, 2010 · Other
- Paula Jean Rose from Oklo Financial, LLCAug 30, 2007 · Other
- Bradley Lee Haupt from Orion Portfolio Solutions, LLCJul 7, 2006 · Other
- Stacy Anne Graham from Sierra Financial AdvisoryFeb 26, 2004 · Other
- Jerry Smith Mosher from Mosher & Ellis Financial Planning, Inc.Mar 30, 1998 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Nicholas Cowles Cochran · Vice-Presidentcontrolsince 04/1992 · owns less than 5%
- Larry Chaiya Lee · Chairman Of The Boardcontrolsince 03/1973 · owns 50% to 75%
- Clarence Yee · President, Cfo, Coo, Chief Compliance Officer, Treasurer, Secretary, Pfo, Poocontrolsince 03/1973 · owns 25% to 50%
Related persons
Schedule D 7.A
- Crestmont Advisors, LLCinvestment advisery
- Gemmer, Robert Ardeninvestment adviseryRAUM $67.3M
- Joel B. Knightinsurancey
- Kessler Financial Servicesinvestment adviserinvestment companyy
- Mosher Financial Advisors LLCinvestment advisery
- Roger Kenneth Coity
- Scott C. Mehreninsurancey
- Thomas L. Mccormicky
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Ramon, Ca · principal | 9 | 0 | 0 | ||
| Lafayette, Ca | 3 | 2 | 1 | ||
| San Jose, Ca | 3 | 0 | 0 | ||
| San Rafael, Ca | 3 | 0 | 0 | ||
| Walnut Creek, Ca | 2 | 0 | 0 | ||
| Menlo Park, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Ramon, CA2 employees
- San Jose, CA2 employees
- Grass Valley, CA1 employees
- Monterey, CA1 employees
- , 1 employees
- Los Banos, CA1 employees
- , 1 employees
- Rocklin, CA1 employees
- , 1 employees
- San Rafael, CA1 employees
- Auburn, CA1 employees
- Dublin, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,530 to 1,554Jun 26, 2025 to Jun 26, 2026
- Advisory employees · 30 to 32Jun 26, 2025 to Jun 26, 2026
- BD registered reps · 30 to 32Jun 26, 2025 to Jun 26, 2026
- HNW clients · 192 to 211Jun 26, 2025 to Jun 26, 2026
- Individual clients · 563 to 548Jun 26, 2025 to Jun 26, 2026
- Employees · 30 to 32Jun 26, 2025 to Jun 26, 2026
- State-registered IARs · 28 to 30Jun 26, 2025 to Jun 26, 2026
- Discretionary RAUM · $576M to $629MJun 26, 2025 to Jun 26, 2026
- HNW RAUM · $384M to $434MJun 26, 2025 to Jun 26, 2026
- Individual RAUM · $164M to $163MJun 26, 2025 to Jun 26, 2026
- Non-discretionary RAUM · $1.7M to $1.8MJun 26, 2025 to Jun 26, 2026
- Pension RAUM · $22.5M to $25.3MJun 26, 2025 to Jun 26, 2026
- RAUM · $578M to $631MJun 26, 2025 to Jun 26, 2026
- Accounts · 1,815 to 1,530Jun 26, 2024 to Jun 26, 2025
- Advisory employees · 32 to 30Jun 26, 2024 to Jun 26, 2025
- BD registered reps · 32 to 30Jun 26, 2024 to Jun 26, 2025
- Charity clients · 5.0 to unsetJun 26, 2024 to Jun 26, 2025
- HNW clients · 221 to 192Jun 26, 2024 to Jun 26, 2025
- Individual clients · 668 to 563Jun 26, 2024 to Jun 26, 2025
- Employees · 32 to 30Jun 26, 2024 to Jun 26, 2025
- Insurance-licensed employees · 4 to 3Jun 26, 2024 to Jun 26, 2025
- Financial planning clients · 0 to 0Jun 26, 2024 to Jun 26, 2025
- State-registered IARs · 30 to 28Jun 26, 2024 to Jun 26, 2025
- Other offices · 13 to 12Jun 26, 2024 to Jun 26, 2025
- Discretionary RAUM · $574M to $576MJun 26, 2024 to Jun 26, 2025
- HNW RAUM · $420M to $384MJun 26, 2024 to Jun 26, 2025
- Individual RAUM · $168M to $164MJun 26, 2024 to Jun 26, 2025
- Non-discretionary RAUM · $42.5M to $1.7MJun 26, 2024 to Jun 26, 2025
- Pension RAUM · $22.0M to $22.5MJun 26, 2024 to Jun 26, 2025
- RAUM · $617M to $578MJun 26, 2024 to Jun 26, 2025
- Accounts · 1,917 to 1,815Oct 16, 2023 to Jun 26, 2024
- Advisory employees · 37 to 32Oct 16, 2023 to Jun 26, 2024
- BD registered reps · 37 to 32Oct 16, 2023 to Jun 26, 2024
- Corporate clients · 5 to 7Oct 16, 2023 to Jun 26, 2024
- HNW clients · 201 to 221Oct 16, 2023 to Jun 26, 2024
- Individual clients · 765 to 668Oct 16, 2023 to Jun 26, 2024
- Employees · 37 to 32Oct 16, 2023 to Jun 26, 2024
- Insurance-licensed employees · 3 to 4Oct 16, 2023 to Jun 26, 2024
- State-registered IARs · 35 to 30Oct 16, 2023 to Jun 26, 2024
- Other offices · 14 to 13Oct 16, 2023 to Jun 26, 2024
Signals
5 dated events
- Isaac Lorenzo Zalkin left American Investors Co for Neuberger Berman Bd Llc (registered 2026-08-13)Jul 30, 2026 · Advisor changed firm · fact
- Stacy Anne Graham left American Investors Co for Lpl Financial Llc (registered 2024-07-17)Jul 17, 2024 · Advisor changed firm · fact
- Brett Gabriel Williams left American Investors Co for Lpl Financial Llc (registered 2023-07-24)Jul 24, 2023 · Advisor changed firm · fact
- Jiyoung I Chung left American Investors Co for Fidelity Personal And Workplace Advisors (registered 2022-10-14)Aug 12, 2022 · Advisor changed firm · fact
- American Investors Co reported RAUM $588.6M, up 56% from $376.8M (2020-06-30 to 2021-06-28)Jun 28, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@americaninvestorsco.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-866-2882reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-866-8989reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- AMERICANINVESTORSCO.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 925-866-2882reportedpublic record, Form ADV, Jun 26, 2026
- Contact form
- americaninvestorsco.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $22.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026