FINANCIAL MANAGEMENT ADVISORS, LLC
Legal name: FINANCIAL MANAGEMENT ADVISORS INC
CRD #106870 SEC #801-50904 LOS ANGELES, CA 310-229-2940
SEC Registered
Total AUM
$1.5B
Discretionary
$1.2B
Employees
--
Clients
--
Accounts
191
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 13, 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 |
|---|---|---|---|---|
| BERG, ANDREW, LAURENCE | I | VICE PRESIDENT, SR. HY ANALYST | NA | |
| GRATZ, DOUGLAS | I | VP/PORTFOLIO MANAGER, CFA | NA | |
| HARKNESS, MARLETTA, LETITIA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARKNESS, MARLETTA, LETITIA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARKNESS, MARLETTA, LETITIA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KHLOPIN, ROGER, JOHN | I | SR. VICE PRESIDENT MANAGING DIRECTOR - EQUITIES | NA | |
| LARSEN, CHARLES, JOHN | I | SVP, CFO, COO, CHIEF COMPLIANCE OFFICER | NA | Control |
| MALALUAN, LERMA | I | VICE PRESIDENT/CFA/SR. HY ANALYST | NA | |
| MALAMED, KENNETH, DAVID | I | PRESIDENT/CIO/ELECTED MANAGER | NA | Control |
| MALAMED, KENNETH, DAVID | I | PRESIDENT/CIO/ELECTED MANAGER | NA | Control |
| MALAMED, KENNETH, DAVID | I | PRESIDENT/CIO/ELECTED MANAGER | NA | Control |
| MALAMED, KENNETH, DAVID | I | PRESIDENT/CIO/ELECTED MANAGER | NA | Control |
| MALAMED, KENNETH, DAVID | I | PRESIDENT/CIO/ELECTED MANAGER | NA | Control |
| MALAMED, KENNETH, DAVID | I | PRESIDENT/CIO/ELECTED MANAGER | NA | Control |
| MALAMED, RICHARD, LUIS | I | EVP/CFO/COO/ELECTED MANAGER | NA | Control |
| MALAMED, RICHARD, LUIS | I | EVP/CFO/COO/ELECTED MANAGER | NA | Control |
| MALAMED, RICHARD, LUIS | I | EVP/CFO/COO/DIRECTOR | NA | Control |
| MALAMED, SANDRA, CUMINGS | I | SECRETARY/EVP/ELECTED MANAGER | NA | Control |
| MALAMED, SANDRA, CUMINGS | I | SECRETARY/EVP/ELECTED MANAGER | NA | Control |
| MALAMED, SANDRA, CUMINGS | I | SECRETARY/EVP/ELECTED MANAGER | NA | Control |
| MALAMED, SANDRA, CUMINGS | I | SECRETARY/EVP/ELECTED MANAGER | NA | Control |
| MALAMED, SANDRA, CUMINGS | I | SECRETARY/EVP/ELECTED MANAGER | NA | Control |
| MALAMED, SANDRA, CUMINGS | I | SECRETARY/EVP/ELECTED MANAGER | NA | Control |
| MICHAELS, STEVEN | I | EVP/PORTFOLIO MANAGER/MANAGING DIRECTOR - HIGH YIELD/ELECTED MANAGER | NA | Control |
| MICHAELS, STEVEN | I | EVP/PORTFOLIO MANAGER/MANAGING DIRECTOR - HIGH YIELD/ELECTED MANAGER | NA | Control |
| MICHAELS, STEVEN | I | EVP/PORTFOLIO MANAGER/MANAGING DIRECTOR - HIGH YIELD/ELECTED MANAGER | NA | Control |
| MICHAELS, STEVEN | I | EVP/PORTFOLIO MANAGER/MANAGING DIRECTOR - HIGH YIELD/ELECTED MANAGER | NA | Control |
| MICHAELS, STEVEN | I | EVP/PORTFOLIO MANAGER/MANAGING DIRECTOR - HIGH YIELD/ELECTED MANAGER | NA | Control |
| MICHAELS, STEVEN | I | EVP/PORTFOLIO MANAGER/MANAGING DIRECTOR - HIGH YIELD/ELECTED MANAGER | NA | Control |
| MICHAELS, STEVEN | I | SVP/PROTFOLIO MGR./MNG. DIRECTOR-HIGH YIELD | NA | |
| SODERLIND, DONALD, WAYNE | I | VICE PRESIDENT/CFA/SR. EQUITY ANALYST | NA | |
| SOMERS, TIMOTHY, ALAN | I | SR. VICE PRESIDENT/PORTFOLIO MANAGER | NA | |
| WONG, HERMAN, MING | I | VP/DIRECTOR OF CLIENT SERVICES | NA | |
| FINANCIAL MANAGEMENT ADVISORS, INC. | DE | MEMBER/CLASS A INTERESTS | E | Control |
| FINANCIAL MANAGEMENT ADVISORS, INC. | DE | MEMBER/CLASS A INTERESTS | E | Control |
| FINANCIAL MANAGEMENT ADVISORS, INC. | DE | MEMBER/CLASS A INTERESTS | E | Control |
| FINANCIAL MANAGEMENT ADVISORS, INC. | DE | MEMBER/CLASS A INTERESTS | E | Control |
| FINANCIAL MANAGEMENT ADVISORS, INC. | DE | MEMBER/CLASS A INTERESTS | E | Control |
| FINANCIAL MANAGEMENT ADVISORS, INC. | DE | MEMBER/CLASS A INTERESTS | E | Control |
| MALAMED, KENNETH, DAVID | I | PRESIDENT/DIRECTOR/CIO | C | Control |
| MALAMED, SANDRA, CUMINGS | I | CORPORATE SECRETARY/DIRECTOR/EVP | C | Control |
| ASSET MANAGEMENT INVESTMENT COMPANY PLC | DE | MEMBER/CLASS B INTERESTS | B | |
| ASSET MANAGEMENT INVESTMENT COMPANY PLC | DE | MEMBER/CLASS B INTERESTS | B | |
| ASSET MANAGEMENT INVESTMENT COMPANY PLC | DE | MEMBER/CLASS B INTERESTS | B | |
| ASSET MANAGEMENT INVESTMENT COMPANY PLC | DE | MEMBER/CLASS B INTERESTS | B | |
| ASSET MANAGEMENT INVESTMENT COMPANY PLC | DE | MEMBER/CLASS B INTERESTS | B | |
| ASSET MANAGEMENT INVESTMENT COMPANY PLC | DE | MEMBER/CLASS B INTERESTS | B | |
| HENNESSY, DAVID, MICHAEL | I | EXECUTIVE VP, DIR. OF MARKETING | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ASSET MANAGEMENT INVESTMENT COMPANY PLC | FE | AMIC HOLDINGS, INC. | E | Control |
| ASSET MANAGEMENT INVESTMENT COMPANY PLC | FE | AMIC HOLDINGS, INC. | E | Control |
| ASSET MANAGEMENT INVESTMENT COMPANY PLC | FE | AMIC HOLDINGS, INC. | E | Control |
| ASSET MANAGEMENT INVESTMENT COMPANY PLC | FE | AMIC HOLDINGS, INC. | E | Control |
| ASSET MANAGEMENT INVESTMENT COMPANY PLC | FE | AMIC HOLDINGS, INC. | E | Control |
| ASSET MANAGEMENT INVESTMENT COMPANY PLC | FE | AMIC HOLDINGS, INC. | E | Control |
| THE MALAMED FAMILY TRUST OF 1980 | DE | FINANCIAL MANAGEMENT ADVISORS, INC. | E | Control |
| THE MALAMED FAMILY TRUST OF 1980 | DE | FINANCIAL MANAGEMENT ADVISORS, INC. | E | Control |
| THE MALAMED FAMILY TRUST OF 1980 | DE | FINANCIAL MANAGEMENT ADVISORS, INC. | E | Control |
| THE MALAMED FAMILY TRUST OF 1980 | DE | FINANCIAL MANAGEMENT ADVISORS, INC. | E | Control |
| THE MALAMED FAMILY TRUST OF 1980 | DE | FINANCIAL MANAGEMENT ADVISORS, INC. | E | Control |
| THE MALAMED FAMILY TRUST OF 1980 | DE | FINANCIAL MANAGEMENT ADVISORS, INC. | E | Control |
| MALAMED, KENNETH, DAVID | I | THE MALAMED FAMILY TRUST OF 1980 | D | Control |
| MALAMED, KENNETH, DAVID | I | THE MALAMED FAMILY TRUST OF 1980 | D | Control |
| MALAMED, KENNETH, DAVID | I | THE MALAMED FAMILY TRUST OF 1980 | D | Control |
| MALAMED, KENNETH, DAVID | I | THE MALAMED FAMILY TRUST OF 1980 | D | Control |
| MALAMED, KENNETH, DAVID | I | THE MALAMED FAMILY TRUST OF 1980 | D | Control |
| MALAMED, KENNETH, DAVID | I | THE MALAMED FAMILY TRUST OF 1980 | D | Control |
| MALAMED, SANDRA, CUMINGS | I | THE MALAMED FAMILY TRUST OF 1980 | D | Control |
| MALAMED, SANDRA, CUMINGS | I | THE MALAMED FAMILY TRUST OF 1980 | D | Control |
| MALAMED, SANDRA, CUMINGS | I | THE MALAMED FAMILY TRUST OF 1980 | D | Control |
| MALAMED, SANDRA, CUMINGS | I | THE MALAMED FAMILY TRUST OF 1980 | D | Control |
| MALAMED, SANDRA, CUMINGS | I | THE MALAMED FAMILY TRUST OF 1980 | D | Control |
| MALAMED, SANDRA, CUMINGS | I | THE MALAMED FAMILY TRUST OF 1980 | D | Control |
Registrations
Federal
IA
Mar 13, 2007 REGISTERED
Notice Filings (24)
AZ CA CO CT DC FL HI IL IN MA MI MN MO MS NJ NV NY OR PA RI SC VA WA WI
Address
1900 AVENUE OF THE STARSSUITE 900
LOS ANGELES, CA 90067-4310
USA
Phone: 310-229-2940