TOWER ASSET MANAGEMENT LLC
CRD #107919 SEC #801-57145 BEVERLY HILLS, CA 323-658-4466
SEC Registered
Total AUM
$384M
Discretionary
$384M
Employees
--
Clients
0
Accounts
1,200
Firm Details
- Organization Type
- Limited Liability Company
- 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 |
|---|---|---|---|---|
| BAKER, RAYMOND, CLAYTON | I | SR. VICE PRESIDENT | NA | Control |
| BAKER, RAYMOND, CLAYTON | I | SR. VICE PRESIDENT | NA | Control |
| BAKER, RAYMOND, CLAYTON | I | SR. VICE PRESIDENT | NA | Control |
| BAKER, RAYMOND, CLAYTON | I | SR. VICE PRESIDENT | NA | Control |
| BAKER, RAYMOND, CLAYTON | I | SR. VICE PRESIDENT | NA | Control |
| BAKER, RAYMOND, CLAYTON | I | SR. VICE PRESIDENT | NA | Control |
| BAKER, RAYMOND, CLAYTON | I | SR. VICE PRESIDENT | NA | Control |
| BAKER, RAYMOND, CLAYTON | I | SR. VICE PRESIDENT | NA | Control |
| BAKER, RAYMOND, CLAYTON | I | SR. VICE PRESIDENT | NA | Control |
| BAKER, RAYMOND, CLAYTON | I | SR. VICE PRESIDENT | NA | Control |
| BAKER, RAYMOND, CLAYTON | I | SR. VICE PRESIDENT | NA | Control |
| BAKER, RAYMOND, CLAYTON | I | SR. VICE PRESIDENT | NA | Control |
| LAM, JON, CHRISTOPHER | I | COO | NA | Control |
| LAM, JON, CHRISTOPHER | I | PRESIDENT | NA | Control |
| LAM, JON, CHRISTOPHER | I | PRESIDENT | NA | Control |
| LAM, JON, CHRISTOPHER | I | PRESIDENT | NA | Control |
| LAM, JON, CHRISTOPHER | I | COO | NA | Control |
| LAM, JON, CHRISTOPHER | I | COO | NA | Control |
| LAM, JON, CHRISTOPHER | I | COO | NA | Control |
| LAM, JON, CHRISTOPHER | I | PRESIDENT | NA | Control |
| LAM, JON, CHRISTOPHER | I | PRESIDENT | NA | Control |
| LAM, JON, CHRISTOPHER | I | PRESIDENT | NA | Control |
| LAM, JON, CHRISTOPHER | I | PRESIDENT | NA | Control |
| LAM, JON, CHRISTOPHER | I | COO | NA | Control |
| LARSEN, CHARLES | I | SENIOR VICE PRESIDENT | NA | Control |
| LARSEN, CHARLES, JOHN | I | SENIOR VICE PRESIDENT | NA | Control |
| LARSEN, CHARLES, JOHN | I | SENIOR VICE PRESIDENT | NA | Control |
| LARSEN, CHARLES, JOHN | I | SENIOR VICE PRESIDENT | NA | Control |
| MAURER, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| MAURER, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| MAURER, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| MAURER, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| MAURER, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| MAURER, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| MAURER, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| PORTMAN, JAMES, DAVID | I | PRESIDENT, CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTMAN, JAMES, DAVID | I | PRESIDENT, CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | NA | Control |
| PORTMAN, JAMES, DAVID | I | PRESIDENT, CHIEF LEGAL OFFICER AND COMPLIANCE OFFICER | NA | Control |
| PORTMAN, JAMES, DAVID | I | PRESIDENT, CHIEF LEGAL OFFICER AND COMPLIANCE OFFICER | NA | Control |
| PORTMAN, JAMES, DAVID | I | PRESIDENT, CHIEF LEGAL OFFICER AND COMPLIANCE OFFICER | NA | Control |
| SNEDDON, STUART, M | I | SENIOR VICE PRESIDENT | NA | Control |
| SNEDDON, STUART, MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| SNEDDON, STUART, MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| SNEDDON, STUART, MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| SNEDDON, STUART, MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| SNEDDON, STUART, MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| SNEDDON, STUART, MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| SNEDDON, STUART, MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| SNEDDON, STUART, MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| SNEDDON, STUART, MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| SNEDDON, STUART, MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| SNEDDON, STUART, MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| STERN, MILFORD, LEE | I | CEO | NA | Control |
| STERN, MILFORD, LEE | I | CEO | NA | Control |
| STERN, MILFORD, LEE | I | CEO | NA | Control |
| STERN, MILFORD, LEE | I | CEO | NA | Control |
| STERN, MILFORD, LEE | I | CEO | NA | Control |
| STERN, MILFORD, LEE | I | CEO | NA | Control |
| STERN, MILFORD, LEE | I | CEO | NA | Control |
| STERN, MILFORD, LEE | I | CEO | NA | Control |
| STERN, MILFORD, LEE | I | CEO | NA | Control |
| STERN, MILFORD, LEE | I | CEO | NA | Control |
| STERN, MILFORD, LEE | I | CEO | NA | Control |
| STERN, MILFORD, LEE | I | CEO | NA | Control |
| M.L. STERN & CO., LLC. | DE | OWNER | E | Control |
| M.L. STERN & CO., LLC. | DE | OWNER | E | Control |
| M.L. STERN & CO., LLC. | DE | OWNER | E | Control |
| M.L. STERN & CO., LLC. | DE | OWNER | E | Control |
| M.L. STERN & CO., LLC. | DE | OWNER | E | Control |
| M.L. STERN & CO., LLC. | DE | OWNER | E | Control |
| M.L. STERN & CO., LLC. | DE | OWNER | E | Control |
| M.L. STERN & CO., LLC. | DE | OWNER | E | Control |
| M.L. STERN & CO., LLC. | DE | OWNER | E | Control |
| M.L. STERN & CO., LLC. | DE | OWNER | E | Control |
| M.L. STERN & CO., LLC. | DE | OWNER | E | Control |
| M.L. STERN & CO., LLC. | DE | OWNER | E | Control |
| M.L. STERN & CO., LLC. | DE | OWNER | E | Control |
| PACIFIC LIFECORP. | DE | OWNER | E | Control |
| PACIFIC MUTUAL HOLDING CO., INC., A CAL. CORP. | DE | OWNER | E | Control |
| STERN FAMILY GRANTOR TRUST, DTD 07/22/76 | DE | OWNER | E | |
| MLSMES HOLDING COMPANY ("MLSMES") | DE | OWNER | B | |
| TAM HOLDING INC., ("TAM") | DE | OWNER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | M. L. STERN & CO., LLC | E | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | M. L. STERN & CO., LLC | E | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | M. L. STERN & CO., LLC | E | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | M. L. STERN & CO., LLC | E | Control |
| PACIFIC SELECT GROUP | DE | PACIFIC SELECT GROUP OWNS 100% OF M. L. STERN | E | |
| PACIFIC SELECT GROUP | DE | PACIFIC SELECT GROUP OWNS 100% OF M. L. STERN | E | |
| PACIFIC SELECT GROUP | DE | PACIFIC SELECT GROUP OWNS 100% OF M. L. STERN | E | |
| PACIFIC SELECT GROUP | DE | PACIFIC SELECT GROUP OWNS 100% OF M. L. STERN | E | |
| PACIFIC SELECT GROUP | DE | PACIFIC SELECT GROUP OWNS 100% OF M. L. STERN | E | |
| PACIFIC SELECT GROUP | DE | PACIFIC SELECT GROUP OWNS 100% OF M. L. STERN | E | |
| SWS GROUP, INC | DE | SWS GROUP, INC IS THE DIRECT OWNER OF ML STERN & CO., LLC | E | Control |
| SWS GROUP, INC | DE | SWS GROUP, INC IS THE DIRECT OWNER OF ML STERN & CO., LLC | E | Control |
Registrations
Federal
IA
Mar 31, 2009 REGISTERED
Notice Filings (17)
AZ CA CO FL MA MI MN NH NJ NV NY OH OR PA TX VT WA
Address
8350 WILSHIRE BLVDBEVERLY HILLS, CA 90211
United States
Phone: 323-658-4466