ASHFIELD & CO INC
CRD #105362 SEC #801-9737 SAN FRANCISCO, CA 415-391-4747
SEC Registered
Total AUM
$387.7M
Discretionary
$387.7M
Employees
5
Clients
0
Accounts
386
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 9, 2007
- 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 |
|---|---|---|---|---|
| BAER, SUSAN, SEEFRIED | I | VICE PRESIDENT,SECRETARY,CFO,CCO,COO | NA | |
| BAER, SUSAN, SEEFRIED | I | VICE PRESIDENT,SECRETARY,CFO,CCO,COO | NA | |
| CHIU, FRANCES, K | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHIU, FRANCES, K | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHIU, FRANCES, K | I | CHIEF COMPLIANCE OFFICER | NA | |
| OWEN, CLAUDIA | I | CHIEF FINANCIAL OFFICER | NA | |
| OWEN, CLAUDIA | I | CHIEF FINANCIAL OFFICER | NA | |
| OWEN, CLAUDIA | I | CHIEF FINANCIAL OFFICER | NA | |
| LAUCK, JAMES, STEPHEN | I | PRESIDENT, CEO, DIRECTOR | B | Control |
| LAUCK, JAMES, STEPHEN | I | PRESIDENT, CEO, DIRECTOR | B | Control |
| LAUCK, JAMES, STEPHEN | I | PRESIDENT, CEO, DIRECTOR | B | Control |
| LAUCK, JAMES, STEPHEN | I | PRESIDENT, CEO, DIRECTOR | B | Control |
| LAUCK, JAMES, STEPHEN | I | PRESIDENT, CEO, DIRECTOR | B | Control |
| SARLO, GEORGE, STEPHEN | I | CHAIRMAN OF THE BOARD | B | |
| SARLO, GEORGE, STEPHEN | I | CHAIRMAN OF THE BOARD | B | |
| SARLO, GEORGE, STEPHEN | I | CHAIRMAN OF THE BOARD | B | |
| SARLO, GEORGE, STEPHEN | I | CHAIRMAN OF THE BOARD | B | |
| SARLO, GEORGE, STEPHEN | I | CHAIRMAN OF THE BOARD | B | |
| TAN, LIP-BU | I | VICE CHAIRMAN OF THE BOARD | B | |
| TAN, LIP-BU | I | VICE CHAIRMAN OF THE BOARD | B | |
| TAN, LIP-BU | I | VICE CHAIRMAN OF THE BOARD | B | |
| TAN, LIP-BU | I | VICE CHAIRMAN OF THE BOARD | B | |
| TAN, LIP-BU | I | VICE CHAIRMAN OF THE BOARD | B | |
| THORNBORROW, JOHN, STEPHEN | I | SHAREHOLDER | B | Control |
| THORNBORROW, JOHN, STEPHEN | I | SHAREHOLDER | B | Control |
| THORNBORROW, JOHN, STEPHEN | I | CHIEF INVESTMENT OFFICER | B | Control |
| THORNBORROW, JOHN, STEPHEN | I | SHAREHOLDER | B | Control |
| THORNBORROW, JOHN, STEPHEN | I | CHIEF INVESTMENT OFFICER | B | Control |
| FRETZ, BRADLEY, JOHN | I | SHAREHOLDER | A | |
| FRETZ, BRADLEY, JOHN | I | SHAREHOLDER | A | |
| FRETZ, BRADLEY, JOHN | I | SHAREHOLDER | A | |
| FRETZ, BRADLEY, JOHN | I | SHAREHOLDER | A | |
| FRETZ, BRADLEY, JOHN | I | SHAREHOLDER | A |
Registrations
Federal
IA
Feb 9, 2007 REGISTERED
Notice Filings (50)
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 NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VT WA WI WV
Address
750 BATTERY STREET, SUITE 600SAN FRANCISCO, CA 94111
USA
Phone: 415-391-4747