PACIFIC FINANCIAL RESEARCH INC
Legal name: PACIFIC FINANCIAL RESEARCH INVESTMENT MANAGEMENT
CRD #104514 SEC #801-54352 BEVERLY HILLS, CA 310-247-3939
SEC Registered
Total AUM
$16.8B
Discretionary
$16.8B
Employees
--
Clients
0
Accounts
157
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 12, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| APPELSTEIN, MATTHEW, J | I | DIRECTOR | NA | Control |
| CLARKE, STEPHEN, WILLIAMSON | I | DIRECTOR | NA | Control |
| GIBSON, LINDA, TILTON | I | SECRETARY AND CLERK | NA | Control |
| GIBSON, LINDA, TILTON | I | SECRETARY AND CLERK | NA | Control |
| GIPSON, JAMES, HAMMOND | I | CHIEF EXECUTIVE OFFICER/PRESIDENT/CHAIRMAN/PORTFOLIO MANAGER/ANALYST | NA | Control |
| GIPSON, JAMES, HAMMOND | I | PRES/CEO/PORTFOLIO MGR | NA | Control |
| GIPSON, JAMES, HAMMOND | I | PRES/CEO/PORTFOLIO MGR | NA | Control |
| GIPSON, JAMES, HAMMOND | I | PRES/CEO/PORTFOLIO MGR | NA | Control |
| GIPSON, JAMES, HAMMOND | I | PRESIDENT/CHAIRMAN/PORTFOLIO MANAGER/ANALYST | NA | Control |
| GIPSON, JAMES, HAMMOND | I | PRESIDENT/CHAIRMAN/PORTFOLIO MANAGER/ANALYST | NA | Control |
| GIPSON, JAMES, HAMMOND | I | CHIEF EXECUTIVE OFFICER/PRESIDENT/CHAIRMAN/PORTFOLIO MANAGER/ANALYST | NA | Control |
| GRADY, JOHN, MICHAEL | I | DIRECTOR | NA | Control |
| GRADY, JOHN, MICHAEL | I | TREASURER | NA | Control |
| GRADY, JOHN, MICHAEL | I | TREASURER | NA | Control |
| GREY, DOUGLAS, WHARTON | I | VICE PRES/PORTFOLIO MGR | NA | Control |
| GREY, DOUGLAS, WHARTON | I | VICE PRES/PORTFOLIO MGR | NA | Control |
| GREY, DOUGLAS, WHARTON | I | VICE PRES/PORTFOLIO MGR | NA | Control |
| GREY, DOUGLAS, WHARTON | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| GREY, DOUGLAS, WHARTON | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| GREY, DOUGLAS, WHARTON | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| HUNT, KEVIN, MARTIN | I | DIRECTOR | NA | Control |
| KROMM, MICHAEL | I | HEAD OF OPERATIONS | NA | Control |
| KROMM, MICHAEL | I | HEAD OF OPERATIONS | NA | Control |
| KROMM, MICHAEL | I | HEAD OF OPERATIONS | NA | Control |
| KROMM, MICHAEL | I | OPERATIONS MANAGER, COMPLIANCE OFFICER | NA | Control |
| KROMM, MICHAEL | I | CHIEF OPERATIONS OFFICER/VICE PRESIDENT | NA | Control |
| KUEGEL, DONNA, MARIE | I | FUND SERVICES MANAGER | NA | Control |
| KUEGEL, DONNA, MARIE | I | FUND SERVICES MANAGER | NA | Control |
| MIKOLAICHIK, JAMES, EDWARD | I | DIRECTOR | NA | Control |
| MIKOLAICHIK, JAMES, EDWARD | I | DIRECTOR | NA | Control |
| MIKOLAICHIK, JAMES, EDWARD | I | DIRECTOR | NA | Control |
| NIXON, JOSEPH, RAY | I | DIRECTOR | NA | Control |
| NIXON, JOSEPH, RAY | I | DIRECTOR | NA | Control |
| OLD MUTUAL(US) HOLDINGS INC | DE | 100% OWNER | NA | |
| OLD MUTUAL(US) HOLDINGS INC | DE | 100% OWNER | NA | |
| PONSETTO, PAULA | I | VICE PRESIDENT | NA | Control |
| PONSETTO, PAULA | I | VICE PRESIDENT | NA | Control |
| POWERS, SCOTT, FRANCIS | I | DIRECTOR | NA | Control |
| POWERS, SCOTT, FRANCIS | I | DIRECTOR | NA | Control |
| POWERS, SCOTT, FRANCIS | I | DIRECTOR | NA | Control |
| QUINN, PETER, J | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| QUINN, PETER, J | I | VICE PRES/PORTFOLIO MGR | NA | Control |
| QUINN, PETER, J | I | VICE PRES/PORTFOLIO MGR | NA | Control |
| QUINN, PETER, J | I | VICE PRES/PORTFOLIO MGR | NA | Control |
| QUINN, PETER, J | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| QUINN, PETER, J | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| QUINN, PETER, J | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| SANDLER, MICHAEL, COLIN | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| SANDLER, MICHAEL, COLIN | I | VICE PRES/PORTFOLIO MGR | NA | Control |
| SANDLER, MICHAEL, COLIN | I | VICE PRES/PORTFOLIO MGR | NA | Control |
| SANDLER, MICHAEL, COLIN | I | VICE PRES/PORTFOLIO MGR | NA | Control |
| SANDLER, MICHAEL, COLIN | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| SANDLER, MICHAEL, COLIN | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| SANDLER, MICHAEL, COLIN | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| SOEHARTO, NUGROHO | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| SOEHARTO, NUGROHO | I | VICE PRESIDENT; PORTFOLIO MANAGER | NA | Control |
| SOEHARTO, NUGROHO | I | VICE PRESIDENT; PORTFOLIO MANAGER | NA | Control |
| SOEHARTO, NUGROHO | I | VICE PRESIDENT/PORTFOLIO MANAGER/ANALYST | NA | Control |
| SOEHARTO, NUGROHO | I | VICE PRESIDENT/PORTFOLIO MANAGER/ANALYST | NA | Control |
| SOEHARTO, NUGROHO | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| SUEOKA, KELLY, MITSUO | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| SUEOKA, KELLY, MITSUO | I | PORTFOLIO MANAGER, ANALYST | NA | Control |
| SUEOKA, KELLY, MITSUO | I | PORTFOLIO MANAGER, ANALYST | NA | Control |
| SUEOKA, KELLY, MITSUO | I | VICE PRESIDENT/PORTFOLIO MANAGER/ANALYST | NA | Control |
| SUEOKA, KELLY, MITSUO | I | VICE PRESIDENT/PORTFOLIO MANAGER/ANALYST | NA | Control |
| SUEOKA, KELLY, MITSUO | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST | NA | Control |
| TURPIN, THOMAS, MOYNIHAN | I | DIRECTOR | NA | Control |
| TURPIN, THOMAS, MOYNIHAN | I | PRESIDENT | NA | Control |
| VEACO, BRUCE, GORDON | I | CHIEF FINANCIAL OFFICER/VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST/SECRETARY | NA | Control |
| VEACO, BRUCE, GORDON | I | VICEPRES/SECTRY/CFO/PORTFOLIO MGR | NA | Control |
| VEACO, BRUCE, GORDON | I | VICEPRES/SECTRY/CFO/PORTFOLIO MGR | NA | Control |
| VEACO, BRUCE, GORDON | I | VICEPRES/SECTRY/CFO/PORTFOLIO MGR | NA | Control |
| VEACO, BRUCE, GORDON | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST/CFO/SECRETARY | NA | Control |
| VEACO, BRUCE, GORDON | I | VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST/CFO/SECRETARY | NA | Control |
| VEACO, BRUCE, GORDON | I | CHIEF FINANCIAL OFFICER/VICE PRESIDENT/DIRECTOR/PORTFOLIO MANAGER/ANALYST/SECRETARY | NA | Control |
| WEINER, LEORA, R. | I | CHIEF COMPLIANCE OFFICER/CORPORATE COUNSEL | NA | Control |
| WEINER, LEORA, R. | I | CHIEF COMPLIANCE OFFICER/CORPORATE COUNSEL | NA | Control |
| WEINER, LEORA, R. | I | CHIEF COMPLIANCE OFFICER/CORPORATE COUNSEL | NA | Control |
| WEINER, LEORA, R. | I | CHIEF COMPLIANCE OFFICER/CORPORATE COUNSEL | NA | Control |
| OLD MUTUAL(US) HOLDINGS INC | DE | 100% SHAREHOLDER OF PACIFIC FINANCIAL RESEARCH | E | Control |
| OLD MUTUAL(US) HOLDINGS INC | DE | 100% SHAREHOLDER OF PACIFIC FINANCIAL RESEARCH | E | Control |
| OLD MUTUAL(US) HOLDINGS INC | DE | 100% SHAREHOLDER OF PACIFIC FINANCIAL RESEARCH | E | Control |
| OLD MUTUAL(US) HOLDINGS INC | DE | 100% OWNER | E | |
| OLD MUTUAL(US) HOLDINGS INC | DE | 100% OWNER | E | |
| OLD MUTUAL(US) HOLDINGS INC | DE | 100% OWNER | E | Control |
| OLD MUTUAL(US) HOLDINGS INC | DE | 100% OWNER | E | Control |
| OLD MUTUAL(US) HOLDINGS INC | DE | 100% SHAREHOLDER OF PACIFIC FINANCIAL RESEARCH | E | Control |
| OLD MUTUAL(US) HOLDINGS INC | DE | 100% SHAREHOLDER OF PACIFIC FINANCIAL RESEARCH | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OLD MUTUAL, PLC | FE | PACIFIC FINANCIAL RESEARCH | E | Control |
| OLD MUTUAL, PLC | FE | PACIFIC FINANCIAL RESEARCH | E | Control |
| OLD MUTUAL, PLC | FE | PACIFIC FINANCIAL RESEARCH | E | Control |
| OLD MUTUAL, PLC | FE | PACIFIC FINANCIAL RESEARCH | E | Control |
| OLD MUTUAL, PLC | FE | PACIFIC FINANCIAL RESEARCH | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS INC | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS INC | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS INC | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS INC | E | Control |
Registrations
Federal
IA
Oct 12, 2005 REGISTERED
Notice Filings (7)
CA GA IN NE NY TX VA
Address
9601 WILSHIRE BLVD, SUITE 800BEVERLY HILLS, CA 90210-5291
UNITED STATES
Phone: 310-247-3939