RIA Intelligence

OBERON FINANCIAL TECHNOLOGY, INC.

CRD #104547 SEC #801-57420 SUNNYVALE, CA (408) 962-7878
SEC Registered
Total AUM
$0
Discretionary
$0
Employees
11
Clients
--
Accounts
0

Firm Details

Organization Type
Corporation
State of Formation
Delaware
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 30, 2012
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
ALVIN, GEORGE, LUISICHIEF COMPLIANCE OFFICERNA
BERGMAN, JUDSON, TAFTICEO AND CHAIRMANNA Control
BERGMAN, JUDSON, TAFTICEO AND CHAIRMANNA Control
BERGMAN, JUDSON, TAFTICEO AND CHAIRMANNA Control
BERGMAN, JUDSON, TAFTICEO AND CHAIRMANNA Control
BERGMAN, JUDSON, TAFTICHAIRMAN, CEO AND DIRECTORNA Control
CRAGER, WILLIAM, C.IPRESIDENT/MANAGING DIRECTORNA Control
DARRIGO, PETER, HICHIEF FINANCIAL OFFICERNA Control
GRINIS, SCOTT, DAVIDIEVP/CHIEF TECHNOLOGY OFFICERNA Control
O'BRIEN, SHELLY, SIEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARYNA Control
O'BRIEN, SHELLY, SIEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARYNA Control
O'BRIEN, SHELLY, SIEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARYNA Control
O'BRIEN, SHELLY, SIEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARYNA Control
O'BRIEN, SHELLY, SIEVP/GENERAL COUNSEL/SECRETARYNA Control
SEIER, DALE, JOSEPHICONTROLLERNA Control
SINCLAIR, GENE, EDWARDIV.P.-SALESNA Control
STEARNS, TIMOTHY, STEVENICHIEF COMPLIANCE OFFICERNA Control
STEARNS, TIMOTHY, STEVENICHIEF COMPLIANCE OFFICERNA Control
STEARNS, TIMOTHY, STEVENICHIEF COMPLIANCE OFFICERNA Control
STEARNS, TIMOTHY, STEVENICHIEF COMPLIANCE OFFICERNA Control
STEARNS, TIMOTHY, STEVENICHIEF COMPLIANCE OFFICERNA Control
STEARNS, TIMOTHY, STEVENICHIEF COMPLIANCE OFFICERNA Control
THOMAS, BRANDON, ROCKWELLICHIEF INVESTMENT OFFICER/MANAGING DIRECTORNA Control
ENVESTNET ASSET MANAGEMENT GROUP, INC.DESHAREHOLDERE Control
ENVESTNET, INC.DESHAREHOLDERE Control
ENVESTNET, INC.DESHAREHOLDERE Control
ENVESTNET, INC.DESHAREHOLDERE Control
ENVESTNET, INC.DESHAREHOLDERE Control
ENVESTNET, INC.DESHAREHOLDERE Control
THE ENVESTNET GROUP, INC.DESHAREHOLDERE Control
FOUNDATION CAPITAL III, L.P.DESHAREHOLDERC Control
FOUNDATION CAPITAL III, L.P.DESHAREHOLDERC Control
FOUNDATION CAPITAL III, L.P.DESHAREHOLDERC Control
FOUNDATION CAPITAL III, L.P.DESHAREHOLDERC Control
APKER, MICHAEL, GLENICEO/CFO/SECRETARY/DIRECTORB Control
GRINIS, SCOTT, DAVIDIV.P.-ENGINEERINGB Control
MOKKARALA, VIGHNESWARA, ROWIV.P.-MARKETINGB Control
APKER, MICHAEL, GLENIMANAGING DIRECTORA Control
APKER, MICHAEL, GLENIMANAGING DIRECTORA Control
APKER, MICHAEL, GLENIPRESIDENT/C.E.O.A Control
APKER, MICHAEL, GLENIMANAGING DIRECTORA Control
APKER, MICHAEL, GLENIPRESIDENT/C.E.O.A Control
APKER, MICHAEL, GLENIPRESIDENT/C.O.O.A Control
APKER, MICHAEL, GLENIMANAGING DIRECTORA Control
APKER, MICHAEL, GLENIMANAGING DIRECTORA Control
DION, RICHARD, KEVINICEOA Control
FOUNDATION CAPITAL III PRINCIPALS, LLCDESHAREHOLDERA
FOUNDATION CAPITAL III PRINCIPALS, LLCDESHAREHOLDERA
FOUNDATION CAPITAL III PRINCIPALS, LLCDESHAREHOLDERA
FOUNDATION CAPITAL III PRINCIPALS, LLCDESHAREHOLDERA
GRINIS, SCOTT, DAVIDIE.V.P.-ENGINEERINGA Control
GRINIS, SCOTT, DAVIDIE.V.P.-ENGINEERINGA Control
GRINIS, SCOTT, DAVIDIE.V.P.-ENGINEERINGA Control
GRINIS, SCOTT, DAVIDIE.V.P.-ENGINEERINGA Control
GRINIS, SCOTT, DAVIDIE.V.P.-ENGINEERINGA Control
GRINIS, SCOTT, DAVIDIE.V.P.-ENGINEERINGA Control
GRINIS, SCOTT, DAVIDIE.V.P.-ENGINEERINGA Control
GRINIS, SCOTT, DAVIDIE.V.P.-ENGINEERINGA Control
LMS CAPITAL (BERMUDA) LIMITEDFESHAREHOLDERA
LMS CAPITAL (BERMUDA) LIMITEDFESHAREHOLDERA
LMS CAPITAL (BERMUDA) LIMITEDFESHAREHOLDERA
MOKKARALA, VIGHNESWARA, ROWIE.V.P.-MARKETINGA Control
MOKKARALA, VIGHNESWARA, ROWIE.V.P.-MARKETINGA Control
MOKKARALA, VIGHNESWARA, ROWIE.V.P.-MARKETINGA Control
MOKKARALA, VIGHNESWARA, ROWIE.V.P.-MARKETINGA Control
MOKKARALA, VIGHNESWARA, ROWIE.V.P.-MARKETINGA Control
MOKKARALA, VIGHNESWARA, ROWIE.V.P.-MARKETINGA Control
MOKKARALA, VIGHNESWARA, ROWIE.V.P.-MARKETINGA Control
MOKKARALA, VIGHNESWARA, ROWIE.V.P.-MARKETINGA Control
SINCLAIR, GENE, EDWARDIV.P.-OPERATIONSA Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
ENVESTNET GROUP, INC.DEENVESTNET, INC.C Control

Registrations

Federal

IA
Mar 30, 2012 REGISTERED

Notice Filings (50)

AK AL AR AZ CA CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VT WA WI WV

Address

150 MATHILDA PLACE
SUITE 306
SUNNYVALE, CA 94086
United States
Phone: (408) 962-7878