ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

CRD #104790 SEC #801-23837 EL SEGUNDO, CA 310-670-0800

SEC Registered Broker-Dealer

Total AUM

$398.6M

Discretionary

$258.4M

Employees

Clients

101

Accounts

2,756

Firm Details

Organization Type: Corporation
State of Formation: --
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Mar 31, 2009
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
BECKER, DAVID, CLIFFORD	I	CFO/TREASURER	NA
BECKER, DAVID, CLIFFORD	I	CFO/TREASURER	NA
BRODY, SCOTT, NATHAN	I	SVP, CHIEF COMPLIANCE OFFICER	NA
BRODY, SCOTT, NATHAN	I	SVP, CHIEF COMPLIANCE OFFICER	NA
BROWN, STEPHANIE, LEIGH	I	DIRECTOR	NA	Control
BROWN, STEPHANIE, LEIGH	I	DIRECTOR	NA	Control
BROWN, STEPHANIE, LEIGH	I	DIRECTOR	NA	Control
BROWN, STEPHANIE, LEIGH	I	DIRECTOR	NA	Control
BROWN, STEPHANIE, LEIGH	I	DIRECTOR	NA	Control
COUCH, ALLISON, LEE	I	PRESIDENT	NA	Control
COUCH, ALLISON, LEE	I	PRESIDENT	NA	Control
DIXON, JOHN, LINCOLN	I	CHAIRMAN/CEO & DIRECTOR	NA	Control
DIXON, JOHN, LINCOLN	I	CHAIRMAN/CEO & DIRECTOR	NA	Control
DIXON, JOHN, LINCOLN	I	CHAIRMAN/CEO & DIRECTOR	NA	Control
DWYER, WILLIAM, EDWARD	I	DIRECTOR	NA	Control
DWYER, WILLIAM, EDWARD	I	DIRECTOR	NA	Control
DWYER, WILLIAM, EDWARD	I	DIRECTOR	NA	Control
DWYER, WILLIAM, EDWARD	I	DIRECTOR	NA	Control
DWYER, WILLIAM, EDWARD	I	DIRECTOR	NA	Control
EVANS, DENISE, MARIE	I	CHIEF COMPLIANCE OFFICER	NA
EVANS, DENISE, MARIE	I	CHIEF COMPLIANCE OFFICER	NA
EVANS, DENISE, MARIE	I	CHIEF COMPLIANCE OFFICER	NA
EVANS, DENISE, MARIE	I	CHIEF COMPLIANCE OFFICER	NA
EVANS, DENISE, MARIE	I	SVP GENERAL COUNSEL	NA
EVANS, DENISE, MARIE	I	CHIEF COMPLIANCE OFFICER & SVP GENERAL COUNSEL	NA
EVANS, DENISE, MARIE	I	CHIEF COMPLIANCE OFFICER & SVP GENERAL COUNSEL	NA
EVANS, DENISE, MARIE	I	CHIEF COMPLIANCE OFFICER	NA
EVANS, DENISE, MARIE	I	CHIEF COMPLIANCE OFFICER	NA
KALBAUGH, JOHN, ANDREW	I	CHIEF EXECUTIVE OFFICER	NA
KALBAUGH, JOHN, ANDREW	I	CHIEF EXECUTIVE OFFICER	NA
LINDSEY, JOHN, ROY	I	VICE PRESIDENT / CFO	NA
LINDSEY, JOHN, ROY	I	VICE PRESIDENT / CFO	NA
LINDSEY, JOHN, ROY	I	VICE PRESIDENT / CFO	NA
LINDSEY, JOHN, ROY	I	VICE PRESIDENT / CFO	NA
LINDSEY, JOHN, ROY	I	VICE PRESIDENT / CFO	NA
LINDSEY, JOHN, ROY	I	VICE PRESIDENT / CFO	NA
LINDSEY, JOHN, ROY	I	VICE PRESIDENT / CFO	NA
LINDSEY, JOHN, ROY	I	VICE PRESIDENT / CFO	NA
LINDSEY, JOHN, ROY	I	VICE PRESIDENT / CFO	NA
LINDSEY, JOHN, ROY	I	VICE PRESIDENT / CFO	NA
LINDSEY, JOHN, ROY	I	VICE PRESIDENT / CFO	NA
MCGIVNEY, JOHN, MICHAEL	I	CHIEF COMPLIANCE OFFICER	NA
NAKAGIRI, NEAL, EDWIN	I	PRESIDENT	NA
NAKAGIRI, NEAL, EDWIN	I	PRESIDENT	NA
PACIFIC LIFE INSURANCE CO.	DE	PARENT	NA	Control
PACIFIC LIFE INSURANCE CO.	DE	PARENT	NA
PACIFIC LIFE INSURANCE CO.	DE	PARENT	NA	Control
PACIFIC LIFE INSURANCE CO.	DE	PARENT	NA	Control
PACIFIC SELECT DISTRIBUTORS, INC.	DE	HOLDING COMPANY	NA	Control
PACIFIC SELECT DISTRIBUTORS, INC.	DE	HOLDING COMPANY	NA
PACIFIC SELECT DISTRIBUTORS, INC.	DE	HOLDING COMPANY	NA	Control
PACIFIC SELECT DISTRIBUTORS, INC.	DE	HOLDING COMPANY	NA	Control
RICHARDSON, KIM, A	I	CHIEF MARKETING OFFICER	NA
RICHARDSON, KIM, A	I	CHIEF MARKETING OFFICER	NA
SCHEFFY, ELGONDE, MAGDALENA	I	SR. VICE PRESIDENT & COO	NA
SCHEFFY, ELGONDE, MAGDALENA	I	SR. VICE PRESIDENT & COO	NA
SCHMIDT, BARRY, JACK	I	VICE PRESIDENT / ADVISORY SERVICES	NA
STEARNS, ESTHER, MARION	I	DIRECTOR	NA	Control
STEARNS, ESTHER, MARION	I	DIRECTOR	NA	Control
STEARNS, ESTHER, MARION	I	DIRECTOR	NA	Control
STEARNS, ESTHER, MARION	I	DIRECTOR	NA	Control
STEARNS, ESTHER, MARION	I	DIRECTOR	NA	Control
ASSOCIATED FINANCIAL GROUP, INC.	DE	HOLDING COMPANY	E	Control
ASSOCIATED FINANCIAL GROUP, INC.	DE	HOLDING COMPANY	E	Control
ASSOCIATED FINANCIAL GROUP, INC.	DE	HOLDING COMPANY	E	Control
ASSOCIATED FINANCIAL GROUP, INC.	DE	HOLDING COMPANY	E	Control
ASSOCIATED FINANCIAL GROUP, INC.	DE	HOLDING COMPANY	E	Control
ASSOCIATED FINANCIAL GROUP, INC.	DE	HOLDING COMPANY	E	Control
ASSOCIATED FINANCIAL GROUP, INC.	DE	HOLDING COMPANY	E	Control
ASSOCIATED FINANCIAL GROUP, INC.	DE	HOLDING COMPANY	E	Control
ASSOCIATED FINANCIAL GROUP, INC.	DE	HOLDING COMPANY	E	Control
ASSOCIATED FINANCIAL GROUP, INC.	DE	HOLDING COMPANY	E	Control
ASSOCIATED FINANCIAL GROUP, INC.	DE	HOLDING COMPANY	E	Control
ASSOCIATED FINANCIAL GROUP, INC.	DE	HOLDING COMPANY	E	Control
ASSOCIATED FINANCIAL GROUP, INC.	DE	HOLDING COMPANY	E	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
HELLMAN & FRIEDMAN INVESTORS V, LLC	DE	HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP	F	Control
HELLMAN & FRIEDMAN INVESTORS V, LLC	DE	HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP	F	Control
HELLMAN & FRIEDMAN INVESTORS V, LLC	DE	HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP	F	Control
HELLMAN & FRIEDMAN INVESTORS V, LLC	DE	HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP	F	Control
HELLMAN & FRIEDMAN INVESTORS V, LLC	DE	HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP	F	Control
TPG ADVISORS IV, INC.	DE	TPG GENPAR IV, L.P.	F	Control
TPG ADVISORS IV, INC.	DE	TPG GENPAR IV, L.P.	F	Control
TPG ADVISORS IV, INC.	DE	TPG GENPAR IV, L.P.	F	Control
TPG ADVISORS IV, INC.	DE	TPG GENPAR IV, L.P.	F	Control
TPG ADVISORS IV, INC.	DE	TPG GENPAR IV, L.P.	F	Control
TPG GENPAR, IV L.P.	DE	TPG PARTNERS IV, L.P.	F	Control
TPG GENPAR, IV L.P.	DE	TPG PARTNERS IV, L.P.	F	Control
TPG GENPAR, IV L.P.	DE	TPG PARTNERS IV, L.P.	F	Control
TPG GENPAR, IV L.P.	DE	TPG PARTNERS IV, L.P.	F	Control
TPG GENPAR, IV L.P.	DE	TPG PARTNERS IV, L.P.	F	Control
LPL HOLDINGS, INC	DE	LPL INDEPENDENT ADVISOR SERVICES GROUP LLC	E	Control
LPL HOLDINGS, INC	DE	LPL INDEPENDENT ADVISOR SERVICES GROUP LLC	E	Control
LPL HOLDINGS, INC	DE	LPL INDEPENDENT ADVISOR SERVICES GROUP LLC	E	Control
LPL HOLDINGS, INC	DE	LPL INDEPENDENT ADVISOR SERVICES GROUP LLC	E	Control
LPL HOLDINGS, INC	DE	LPL INDEPENDENT ADVISOR SERVICES GROUP LLC	E	Control
LPL INDEPENDENT ADVISOR SERVICES GROUP LLC	DE	ASSOCIATED FINANCIAL GROUP, INC	E	Control
LPL INDEPENDENT ADVISOR SERVICES GROUP LLC	DE	ASSOCIATED FINANCIAL GROUP, INC	E	Control
LPL INDEPENDENT ADVISOR SERVICES GROUP LLC	DE	ASSOCIATED FINANCIAL GROUP, INC	E	Control
LPL INDEPENDENT ADVISOR SERVICES GROUP LLC	DE	ASSOCIATED FINANCIAL GROUP, INC	E	Control
LPL INDEPENDENT ADVISOR SERVICES GROUP LLC	DE	ASSOCIATED FINANCIAL GROUP, INC	E	Control
LPL INVESTMENT HOLDINGS, INC.	DE	LPL HOLDINGS, INC.	E	Control
LPL INVESTMENT HOLDINGS, INC.	DE	LPL HOLDINGS, INC.	E	Control
LPL INVESTMENT HOLDINGS, INC.	DE	LPL HOLDINGS, INC.	E	Control
LPL INVESTMENT HOLDINGS, INC.	DE	LPL HOLDINGS, INC.	E	Control
LPL INVESTMENT HOLDINGS, INC.	DE	LPL HOLDINGS, INC.	E	Control
PACIFIC LIFE CORP.	DE	PACIFIC LIFE INSURANCE COMPANY	E	Control
PACIFIC LIFE CORP.	DE	PACIFIC LIFE INSURANCE COMPANY	E	Control
PACIFIC LIFE CORP.	DE	PACIFIC LIFE INSURANCE COMPANY	E	Control
PACIFIC LIFE CORP.	DE	PACIFIC LIFE INSURANCE COMPANY	E	Control
PACIFIC LIFE INSURANCE CO	DE	PACIFIC SELECT GROUP, LLC	E	Control
PACIFIC LIFE INSURANCE CO	DE	PACIFIC SELECT GROUP, LLC	E	Control
PACIFIC LIFE INSURANCE CO	DE	PACIFIC SELECT GROUP, LLC	E	Control
PACIFIC LIFE INSURANCE CO	DE	PACIFIC SELECT GROUP, LLC	E	Control
PACIFIC LIFE INSURANCE CO.	DE	ASSOCIATED PLANNERS INVESTMENT ADVISORY, INC.	E	Control
PACIFIC LIFE INSURANCE CO.	DE	ASSOCIATED PLANNERS INVESTMENT ADVISORY, INC.	E	Control
PACIFIC LIFE INSURANCE CO.	DE	ASSOCIATED PLANNERS INVESTMENT ADVISORY, INC.	E	Control
PACIFIC MUTUAL HOLDING COMPANY	DE	PACIFIC LIFE CORP.	E	Control
PACIFIC MUTUAL HOLDING COMPANY	DE	PACIFIC LIFE CORP.	E	Control
PACIFIC MUTUAL HOLDING COMPANY	DE	PACIFIC LIFE CORP.	E	Control
PACIFIC MUTUAL HOLDING COMPANY	DE	PACIFIC LIFE CORP.	E	Control
PACIFIC SELECT DISTRIBUTORS, INC.	DE	ASSOCIATED PLANNERS INVESTMENT ADVISORY, INC.	E	Control
PACIFIC SELECT DISTRIBUTORS, INC.	DE	ASSOCIATED PLANNERS INVESTMENT ADVISORY, INC.	E	Control
PACIFIC SELECT DISTRIBUTORS, INC.	DE	ASSOCIATED PLANNERS INVESTMENT ADVISORY, INC.	E	Control
PACIFIC SELECT GROUP,LLC	DE	ASSOCIATED FINANCIAL GROUP, INC.	E	Control
PACIFIC SELECT GROUP,LLC	DE	ASSOCIATED FINANCIAL GROUP, INC.	E	Control
PACIFIC SELECT GROUP,LLC	DE	ASSOCIATED FINANCIAL GROUP, INC.	E	Control
PACIFIC SELECT GROUP,LLC	DE	ASSOCIATED FINANCIAL GROUP, INC.	E	Control
BONDERMAN, DAVID, NMI	I	TPG ADVISORS, IV, INC.	D	Control
BONDERMAN, DAVID, NMI	I	TPG ADVISORS, IV, INC.	D	Control
COULTER, JAMES, GEORGE	I	TPG ADVISORS IV, INC.	D	Control
COULTER, JAMES, GEORGE	I	TPG ADVISORS IV, INC.	D	Control
BONDERMAN, DAVID, NMI	I	TPG ADVISORS, IV, INC.	C	Control
BONDERMAN, DAVID, NMI	I	TPG ADVISORS, IV, INC.	C	Control
BONDERMAN, DAVID, NMI	I	TPG ADVISORS, IV, INC.	C	Control
COULTER, JAMES, GEORGE	I	TPG ADVISORS IV, INC.	C	Control
COULTER, JAMES, GEORGE	I	TPG ADVISORS IV, INC.	C	Control
COULTER, JAMES, GEORGE	I	TPG ADVISORS IV, INC.	C	Control
HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P.	DE	LPL INVESTMENT HOLDINGS, INC.	C	Control
HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P.	DE	LPL INVESTMENT HOLDINGS, INC.	C	Control
HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P.	DE	LPL INVESTMENT HOLDINGS, INC.	C	Control
HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P.	DE	LPL INVESTMENT HOLDINGS, INC.	C	Control
HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P.	DE	LPL INVESTMENT HOLDINGS, INC.	C	Control
PRICE, WILLIAM, STANLEY	I	TPG ADVISORS, IV, L.P.	C	Control
PRICE, WILLIAM, STANLEY	I	TPG ADVISORS, IV, L.P.	C	Control
PRICE, WILLIAM, STANLEY	I	TPG ADVISORS, IV, L.P.	C	Control
TPG PARTNERS IV, L.P.	DE	LPL INVESTMENT HOLDINGS, INC.	C	Control
TPG PARTNERS IV, L.P.	DE	LPL INVESTMENT HOLDINGS, INC.	C	Control
TPG PARTNERS IV, L.P.	DE	LPL INVESTMENT HOLDINGS, INC.	C	Control
TPG PARTNERS IV, L.P.	DE	LPL INVESTMENT HOLDINGS, INC.	C	Control
TPG PARTNERS IV, L.P.	DE	LPL INVESTMENT HOLDINGS, INC.	C	Control

Registrations

Federal

Mar 31, 2009 REGISTERED

Notice Filings (51)

AK AL AR AZ CA CO 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

PACIFIC CORPORATE TOWERS
222 N. SEPULVEDA BLVD. STE 1800
EL SEGUNDO, CA 90245
United States

Phone: 310-670-0800