ALETHEIA RESEARCH AND MANAGEMENT INC
CRD #107877 SEC #801-55761 SANTA MONICA, CA 310-899-0800
SEC Registered Private Funds Disclosures
Total AUM
$163.3M
Discretionary
$131M
Employees
10
Clients
--
Accounts
124
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 11, 2013
- 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 |
|---|---|---|---|---|
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT | NA | |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT | NA | |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| BARNES, PATRICIA, CAMP | I | SR. VICE PRESIDENT, DIRECTOR | NA | Control |
| C'DEBACA, ERNEST, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| C'DEBACA, ERNEST, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DENEVE, JORGE | I | SR. VICE PRESIDENT, GENERAL COUNSEL | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LANEY, MICHAEL, LEROY | I | CFO | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| LEE, BRUCE, ARENA | I | DIRECTOR | NA | Control |
| ROPER, CHRISTINE, WRIGHT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ROPER, CHRISTINE, WRIGHT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SANTOS, ARVIN, ALFRED DOMINGO | I | COO | NA | Control |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SWANSON, ANN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SWANSON, ANN MARIE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWANSON, ANN MARIE | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | D | Control |
| EICHLER, PETER, JAMES | I | CHAIRMAN, PRESIDENT, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | CHAIRMAN, PRESIDENT, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | CHAIRMAN, PRESIDENT, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | CHAIRMAN, PRESIDENT, CEO, CIO, AND INTERIM CCO | D | Control |
| EICHLER, PETER, JAMES | I | CHAIRMAN, PRESIDENT, CEO, CIO, AND INTERIM CCO | D | Control |
| EICHLER, PETER, JAMES | I | CHAIRMAN, PRESIDENT, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | CHAIRMAN, PRESIDENT, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | CHAIRMAN, PRESIDENT, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | CHAIRMAN, PRESIDENT, CEO, CIO | D | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | C | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | C | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | C | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | C | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | C | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | C | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | C | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | C | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | C | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | C | Control |
| EICHLER, PETER, JAMES | I | PRESIDENT, CHAIRMAN, CEO | C | Control |
| PEIKIN, ROGER, B | I | EXECUTIVE VICE-PRESIDENT, CHIEF LEGAL OFFICER, CFO, CHIEF COMPLIANCE OFFICER | C | Control |
| PEIKIN, ROGER, B | I | EXECUTIVE VICE-PRESIDENT, CHIEF LEGAL OFFICER, CFO, CHIEF COMPLIANCE OFFICER | C | Control |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | EXECUTIVE VICE-PRESIDENT, CHIEF LEGAL OFFICER, CFO, CCO | C | Control |
| PEIKIN, ROGER, B | I | EXECUTIVE VICE-PRESIDENT, CHIEF LEGAL OFFICER, CFO | C | Control |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | EXECUTIVE VICE-PRESIDENT, CHIEF LEGAL OFFICER, CFO, CCO | C | Control |
| PEIKIN, ROGER, B | I | EXECUTIVE VICE-PRESIDENT, CHIEF LEGAL OFFICER, CFO, CCO | C | Control |
| PEIKIN, ROGER, B | I | EXECUTIVE VICE-PRESIDENT, CHIEF LEGAL OFFICER, CFO, CHIEF COMPLIANCE OFFICER | C | Control |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | Control |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | Control |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | Control |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | Control |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | Control |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | C | |
| BOSKOVICH, JOSEPH, MICHAEL | I | VICE CHAIRMAN | B | |
| BOSKOVICH, JOSEPH, MICHAEL | I | VICE CHAIRMAN | B | |
| BOSKOVICH, JOSEPH, MICHAEL | I | VICE CHAIRMAN | B | |
| BOSKOVICH, JOSEPH, MICHAEL | I | VICE CHAIRMAN | B | |
| BOSKOVICH, JOSEPH, MICHAEL | I | VICE CHAIRMAN | B | |
| BOSKOVICH, JOSEPH, MICHAEL | I | VICE CHAIRMAN | B | |
| PEIKIN, ROGER, B | I | EXECUTIVE VICE-PRESIDENT, CHIEF LEGAL OFFICER, CFO | B | Control |
| PEIKIN, ROGER, B | I | OWNER, DIRECTOR | B | |
| PEIKIN, ROGER, B | I | EXECUTIVE VICE-PRESIDENT, CHIEF LEGAL OFFICER, CFO | B | Control |
| PROCTOR INVESTMENT MANAGERS, LLC | DE | SHARE HOLDER | B | |
| PROCTOR INVESTMENT MANAGERS, LLC | DE | SHARE HOLDER | B | |
| PROCTOR INVESTMENT MANAGERS, LLC | DE | SHARE HOLDER | B | |
| PROCTOR INVESTMENT MANAGERS, LLC | DE | SHARE HOLDER | B | |
| PROCTOR INVESTMENT MANAGERS, LLC | DE | SHARE HOLDER | B | |
| PROCTOR INVESTMENT MANAGERS, LLC | DE | SHARE HOLDER | B | |
| PROCTOR INVESTMENT MANAGERS, LLC | DE | SHARE HOLDER | B | |
| PROCTOR INVESTMENT MANAGERS, LLC | DE | SHARE HOLDER | B | |
| PROCTOR INVESTMENT MANAGERS, LLC | DE | SHARE HOLDER | B | |
| PROCTOR INVESTMENT MANAGERS, LLC | DE | SHARE HOLDER | B | |
| PROCTOR INVESTMENT MANAGERS, LLC | DE | SHARE HOLDER | B | |
| PROCTOR INVESTMENT MANAGERS, LLC | DE | SHARE HOLDER | B | |
| BOSKOVICH, JOSEPH, MICHAEL | I | SHAREHOLDER | A | |
| IRVINE CAPITAL PARTNERS | DE | SHAREHOLDER | A | |
| IRVINE CAPITAL PARTNERS, LP | DE | SHAREHOLDER | A | |
| IRVINE CAPITAL PARTNERS, LP | DE | SHAREHOLDER | A | |
| IRVINE CAPITAL PARTNERS, LP | DE | SHAREHOLDER | A | |
| IRVINE CAPITAL PARTNERS, LP | DE | SHAREHOLDER | A | |
| IRVINE CAPITAL PARTNERS, LP | DE | SHAREHOLDER | A | |
| IRVINE CAPITAL PARTNERS, LP | DE | SHAREHOLDER | A | |
| IRVINE CAPITAL PARTNERS, LP | DE | SHAREHOLDER | A | |
| IRVINE CAPITAL PARTNERS, LP | DE | SHAREHOLDER | A | |
| IRVINE CAPITAL PARTNERS, LP | DE | SHAREHOLDER | A |
Registrations
Federal
IA
Jan 11, 2013 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 ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
100 WILSHIRE BLVD, SUITE 1900SANTA MONICA, CA 90401
United States
Phone: 310-899-0800