RIA Intelligence

FLAHERTY & CRUMRINE INCORPORATED

CRD #105499 SEC #801-19384 PASADENA, CA 626-795-7300
SEC Registered
Total AUM
$4.1B
Discretionary
$4.1B
Employees
13
Clients
0
Accounts
17

Firm Details

Organization Type
Corporation
State of Formation
California
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Jul 11, 2025
Branch Offices
1
LEI
2549000IWBOG75EEB694

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
CHADWICK, ROBERT, ERICIVICE PRESIDENT & DIRECTORNA Control
CHADWICK, ROBERT, ERICIVICE PRESIDENT & DIRECTORNA Control
CHADWICK, ROBERT, ERICIVICE PRESIDENTNA Control
CHADWICK, ROBERT, ERICIVICE PRESIDENTNA
CHADWICK, ROBERT, ERICIVICE PRESIDENTNA
CHADWICK, ROBERT, ERICIVICE PRESIDENT & DIRECTORNA Control
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTORNA Control
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTORNA Control
CHADWICK, ROBERT, ERICIVICE PRESIDENT & DIRECTORNA Control
CHADWICK, ROBERT, ERICIVICE PRESIDENT & DIRECTORNA Control
CONWELL, CHAD, CHRISTOPHERICHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICERNA Control
CONWELL, CHAD, CHRISTOPHERICHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER & DIRECTORNA Control
CONWELL, CHAD, CHRISTOPHERICHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICERNA Control
CONWELL, CHAD, CHRISTOPHERICHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER & DIRECTORNA Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTORNA Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTORNA Control
CONWELL, CHAD, CHRISTOPHERICHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER & DIRECTORNA Control
CONWELL, CHAD, CHRISTOPHERICHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER & DIRECTORNA Control
CRUMRINE, DONALD, FRASIERICHAIRMAN OF THE BOARD & DIRECTORNA Control
CRUMRINE, DONALD, FRASIERICHAIRMAN OF THE BOARD & DIRECTORNA Control
CRUMRINE, DONALD, FRASIERICHAIRMAN OF THE BOARD & DIRECTORNA Control
CRUMRINE, DONALD, FRASIERICHAIRMAN OF THE BOARD & DIRECTORNA Control
CRUMRINE, DONALD, FRASIERICHAIRMAN OF THE BOARD & DIRECTORNA Control
ETTINGER, ROBERT, MICHAELIPRESIDENT & DIRECTORNA Control
ETTINGER, ROBERT, MICHAELIPRESIDENT & DIRECTORNA Control
ETTINGER, ROBERT, MICHAELIPRESIDENT & DIRECTORNA Control
ETTINGER, ROBERT, MICHAELIPRESIDENT & DIRECTORNA Control
ETTINGER, ROBERT, MICHAELIPRESIDENT & DIRECTORNA Control
LODOLO, LAURIE, C.ISECRETARY & ASSISTANT COMPLIANCE OFFICERNA
LODOLO, LAURIE, C.ISECRETARY & ASSISTANT COMPLIANCE OFFICERNA
LODOLO, LAURIE, C.ISECRETARYNA
RYAN, CHRISTOPHER, DOUGLASIVICE PRESIDENTNA
RYAN, CHRISTOPHER, DOUGLASIVICE PRESIDENTNA
STIMES, PETERIVICE PRESIDENTNA
STIMES, PETER, CHRISTOPHERIVICE PRESIDENT & ASSISTANT COMPLIANCE OFFICERNA
STIMES, PETER, CHRISTOPHERIVICE PRESIDENTNA
STONE, BRADFORD, SYDENHAMIVICE PRESIDENTNA Control
STONE, BRADFORD, SYDENHAMIVICE PRESIDENTNA
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTOR AND SHAREHOLDERC Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDERC Control
CRUMRINE, DONALD, FRASIERICHAIRMAN OF THE BOARDC Control
CRUMRINE, DONALD, FRASIERICHAIRMAN OF THE BOARDC Control
CRUMRINE, DONALD, FRASIERICHAIRMAN OF THE BOARDC Control
ETTINGER, ROBERT, MICHAELIPRESIDENTC Control
ETTINGER, ROBERT, MICHAELIPRESIDENTC Control
ETTINGER, ROBERT, MICHAELIPRESIDENTC Control
FLAHERTY, ROBERT, THOMASIDIRECTORC Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDERC Control
THE CRUMRINE TRUSTDESHAREHOLDERC Control
THE CRUMRINE TRUSTDESHAREHOLDERC Control
THE CRUMRINE TRUSTDESHAREHOLDERC Control
THE CRUMRINE TRUSTDESHAREHOLDERC Control
THE CRUMRINE TRUSTDESHAREHOLDERC Control
THE CRUMRINE TRUSTDESHAREHOLDERC Control
THE CRUMRINE TRUSTDESHAREHOLDERC Control
THE ETTINGER TRUSTDESHAREHOLDERC Control
THE ETTINGER TRUSTDESHAREHOLDERC Control
THE ETTINGER TRUSTDESHAREHOLDERC Control
THE ETTINGER TRUSTDESHAREHOLDERC Control
THE ETTINGER TRUSTDESHAREHOLDERC Control
THE ETTINGER TRUSTDESHAREHOLDERC Control
THE ETTINGER TRUSTDESHAREHOLDERC Control
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTOR AND SHAREHOLDERB Control
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTOR AND SHAREHOLDERB Control
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTOR AND SHAREHOLDERB Control
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTOR AND SHAREHOLDERB Control
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTOR AND SHAREHOLDERB Control
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTOR AND SHAREHOLDERB Control
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTOR AND SHAREHOLDERB Control
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTOR AND SHAREHOLDERB Control
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTOR AND SHAREHOLDERB Control
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTOR AND SHAREHOLDERB Control
CHADWICK, ROBERT, ERICIPRESIDENT & DIRECTOR AND SHAREHOLDERB Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDERB Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDERB Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDERB Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDERB Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDERB Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDERB Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDERB Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDERB Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDERB Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDERB Control
CONWELL, CHAD, CHRISTOPHERIEXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDERB Control
CRUMRINE, DONALD, FRASIERISHAREHOLDERB
CRUMRINE, DONALD, FRASIERISHAREHOLDERB
CRUMRINE, DONALD, FRASIERISHAREHOLDERB
CRUMRINE, DONALD, FRASIERISHAREHOLDERB
CRUMRINE, DONALD, FRASIERISHAREHOLDERB
CRUMRINE, DONALD, FRASIERISHAREHOLDERB
CRUMRINE, DONALD, FRASIERISHAREHOLDERB
CRUMRINE, DONALD, FRASIERISHAREHOLDERB
CRUMRINE, DONALD, FRASIERISHAREHOLDERB
CRUMRINE, DONALD, FRASIERISHAREHOLDERB
CRUMRINE, DONALD, FRASIERISHAREHOLDERB
CRUMRINE, DONALD, FRASIERISHAREHOLDERB
ETTINGER, ROBERT, MICHAELISHAREHOLDERB
ETTINGER, ROBERT, MICHAELISHAREHOLDERB
ETTINGER, ROBERT, MICHAELISHAREHOLDERB
ETTINGER, ROBERT, MICHAELISHAREHOLDERB
ETTINGER, ROBERT, MICHAELISHAREHOLDERB
ETTINGER, ROBERT, MICHAELISHAREHOLDERB
ETTINGER, ROBERT, MICHAELISHAREHOLDERB
ETTINGER, ROBERT, MICHAELISHAREHOLDERB
ETTINGER, ROBERT, MICHAELISHAREHOLDERB
ETTINGER, ROBERT, MICHAELISHAREHOLDERB
ETTINGER, ROBERT, MICHAELISHAREHOLDERB
FLAHERTY, ROBERT, THOMASISHAREHOLDERB
FLAHERTY, ROBERT, THOMASISHAREHOLDERB
FLAHERTY, ROBERT, THOMASISHAREHOLDERB
FLAHERTY, ROBERT, THOMASISHAREHOLDERB
FLAHERTY, ROBERT, THOMASISHAREHOLDERB
FLAHERTY, ROBERT, THOMASISHAREHOLDERB
FLAHERTY, ROBERT, THOMASISHAREHOLDERB
FLAHERTY, ROBERT, THOMASISHAREHOLDERB
FLAHERTY, ROBERT, THOMASISHAREHOLDERB
FLAHERTY, ROBERT, THOMASISHAREHOLDERB
FLAHERTY, ROBERT, THOMASISHAREHOLDERB
FLAHERTY, ROBERT, THOMASISHAREHOLDERB
FLAHERTY, ROBERT, THOMASISHAREHOLDERB
STONE, BRADFORD, SYDENHAMIVICE PRESIDENT & DIRECTORB Control
STONE, BRADFORD, SYDENHAMIVICE PRESIDENT & DIRECTORB Control
STONE, BRADFORD, SYDENHAMIVICE PRESIDENT & DIRECTORB Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTORB Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTORB Control
STONE, BRADFORD, SYDENHAMIVICE PRESIDENT & DIRECTORB Control
STONE, BRADFORD, SYDENHAMIVICE PRESIDENT & DIRECTORB Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDERB Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDERB Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDERB Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDERB Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDERB Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDERB Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDERB Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDERB Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDERB Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDERB Control
STONE, BRADFORD, SYDENHAMIEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDERB Control
THE CHADWICK FAMILY TRUSTDESHAREHOLDERB
THE CHADWICK FAMILY TRUSTDESHAREHOLDERB
THE CHADWICK FAMILY TRUSTDESHAREHOLDERB
THE CHADWICK FAMILY TRUSTDESHAREHOLDERB
THE CHADWICK FAMILY TRUSTDESHAREHOLDERB
THE CHADWICK FAMILY TRUSTDESHAREHOLDERB
THE CHADWICK FAMILY TRUSTDESHAREHOLDERB
THE FLAHERTY TRUSTDESHAREHOLDERB
THE FLAHERTY TRUSTDESHAREHOLDERB
THE FLAHERTY TRUSTDESHAREHOLDERB
THE FLAHERTY TRUSTDESHAREHOLDERB
THE FLAHERTY TRUSTDESHAREHOLDERB
THE FLAHERTY TRUSTDESHAREHOLDERB
THE FLAHERTY TRUSTDESHAREHOLDERB
THE CONWELL FAMILY TRUSTDESHAREHOLDERA
THE CONWELL FAMILY TRUSTDESHAREHOLDERA
THE CONWELL FAMILY TRUSTDESHAREHOLDERA
THE CONWELL FAMILY TRUSTDESHAREHOLDERA
THE CONWELL FAMILY TRUSTDESHAREHOLDERA
THE CONWELL FAMILY TRUSTDESHAREHOLDERA

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
CHADWICK, BECKY, ANNITHE CHADWICK FAMILY TRUSTF Control
CHADWICK, BECKY, ANNITHE CHADWICK FAMILY TRUSTF Control
CHADWICK, BECKY, ANNITHE CHADWICK FAMILY TRUSTF Control
CHADWICK, BECKY, ANNITHE CHADWICK FAMILY TRUSTF Control
CHADWICK, BECKY, ANNITHE CHADWICK FAMILY TRUSTF Control
CHADWICK, BECKY, ANNITHE CHADWICK FAMILY TRUSTF Control
CHADWICK, BECKY, ANNITHE CHADWICK FAMILY TRUSTF Control
CHADWICK, ROBERT, ERICITHE CHADWICK FAMILY TRUSTF Control
CHADWICK, ROBERT, ERICITHE CHADWICK FAMILY TRUSTF Control
CHADWICK, ROBERT, ERICITHE CHADWICK FAMILY TRUSTF Control
CHADWICK, ROBERT, ERICITHE CHADWICK FAMILY TRUSTF Control
CHADWICK, ROBERT, ERICITHE CHADWICK FAMILY TRUSTF Control
CHADWICK, ROBERT, ERICITHE CHADWICK FAMILY TRUSTF Control
CHADWICK, ROBERT, ERICITHE CHADWICK FAMILY TRUSTF Control
CONWELL, CHAD, CHRISTOPHERITHE CONWELL FAMILY TRUSTF Control
CONWELL, CHAD, CHRISTOPHERITHE CONWELL FAMILY TRUSTF Control
CONWELL, CHAD, CHRISTOPHERITHE CONWELL FAMILY TRUSTF Control
CONWELL, CHAD, CHRISTOPHERITHE CONWELL FAMILY TRUSTF Control
CONWELL, CHAD, CHRISTOPHERITHE CONWELL FAMILY TRUSTF Control
CONWELL, CHAD, CHRISTOPHERITHE CONWELL FAMILY TRUSTF Control
CONWELL, CHRISTINA, LITHE CONWELL FAMILY TRUSTF Control
CONWELL, CHRISTINA, LITHE CONWELL FAMILY TRUSTF Control
CONWELL, CHRISTINA, LITHE CONWELL FAMILY TRUSTF Control
CONWELL, CHRISTINA, LITHE CONWELL FAMILY TRUSTF Control
CONWELL, CHRISTINA, LITHE CONWELL FAMILY TRUSTF Control
CONWELL, CHRISTINA, LITHE CONWELL FAMILY TRUSTF Control
CRUMRINE, DONALD, FRASIERITHE CRUMRINE TRUSTF Control
CRUMRINE, DONALD, FRASIERITHE CRUMRINE TRUSTF Control
CRUMRINE, DONALD, FRASIERITHE CRUMRINE TRUSTF Control
CRUMRINE, DONALD, FRASIERITHE CRUMRINE TRUSTF Control
CRUMRINE, DONALD, FRASIERITHE CRUMRINE TRUSTF Control
CRUMRINE, DONALD, FRASIERITHE CRUMRINE TRUSTF Control
CRUMRINE, DONALD, FRASIERITHE CRUMRINE TRUSTF Control
CRUMRINE, LUCILLE, H.ITHE CRUMRINE TRUSTF Control
CRUMRINE, LUCILLE, HARBOURITHE CRUMRINE TRUSTF Control
CRUMRINE, LUCILLE, HARBOURITHE CRUMRINE TRUSTF Control
CRUMRINE, LUCILLE, HARBOURITHE CRUMRINE TRUSTF Control
CRUMRINE, LUCILLE, HARBOURITHE CRUMRINE TRUSTF Control
CRUMRINE, LUCILLE, HARBOURITHE CRUMRINE TRUSTF Control
CRUMRINE, LUCILLE, HARBOURITHE CRUMRINE TRUSTF Control
ETTINGER, JANE, Z.ITHE ETTINGER TRUSTF Control
ETTINGER, JANE, ZIMMERMANITHE ETTINGER TRUSTF Control
ETTINGER, JANE, ZIMMERMANITHE ETTINGER TRUSTF Control
ETTINGER, JANE, ZIMMERMANITHE ETTINGER TRUSTF Control
ETTINGER, JANE, ZIMMERMANITHE ETTINGER TRUSTF Control
ETTINGER, JANE, ZIMMERMANITHE ETTINGER TRUSTF Control
ETTINGER, JANE, ZIMMERMANITHE ETTINGER TRUSTF Control
ETTINGER, ROBERT, MICHAELITHE ETTINGER TRUSTF Control
ETTINGER, ROBERT, MICHAELITHE ETTINGER TRUSTF Control
ETTINGER, ROBERT, MICHAELITHE ETTINGER TRUSTF Control
ETTINGER, ROBERT, MICHAELITHE ETTINGER TRUSTF Control
ETTINGER, ROBERT, MICHAELITHE ETTINGER TRUSTF Control
ETTINGER, ROBERT, MICHAELITHE ETTINGER TRUSTF Control
ETTINGER, ROBERT, MICHAELITHE ETTINGER TRUSTF Control
FLAHERTY, ROBERT, THOMASITHE FLAHERTY TRUSTF
FLAHERTY, ROBERT, THOMASITHE FLAHERTY TRUSTF
FLAHERTY, ROBERT, THOMASITHE FLAHERTY TRUSTF
FLAHERTY, ROBERT, THOMASITHE FLAHERTY TRUSTF
FLAHERTY, ROBERT, THOMASITHE FLAHERTY TRUSTF
FLAHERTY, ROBERT, THOMASITHE FLAHERTY TRUSTF
FLAHERTY, ROBERT, THOMASITHE FLAHERTY TRUSTF

Registrations

Federal

IA
Jul 11, 2025 REGISTERED

Notice Filings (1)

CA

Address

301 E COLORADO BLVD
SUITE 800
PASADENA, CA 91101-1911
United States
Phone: 626-795-7300