SWAN PHILIP V ASSOCIATES LLC
Legal name: PHILIP V. SWAN ASSOCIATES, LLC
CRD #108000 SEC #801-56620 PASADENA, CA (626) 793-0377
SEC Registered
Total AUM
$1.1B
Discretionary
$1.1B
Employees
--
Clients
--
Accounts
415
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 16, 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 |
|---|---|---|---|---|
| HABEGGER, KATHLEEN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | |
| HABEGGER, KATHLEEN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | |
| HABEGGER, KATHLEEN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | |
| HABEGGER, KATHLEEN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | |
| HABEGGER, KATHLEEN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | |
| HABEGGER, KATHLEEN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | |
| HABEGGER, KATHLEEN, MARY | I | CHIEF COMPLIANCE OFFICER | NA | |
| HABEGGER, KATHLEEN, MARY | I | COMPLIANCE OFFICER | NA | |
| TAYLOR, LINDA, DAVIS | I | PRESIDENT/CORPORATE SECRETARY | NA | Control |
| TAYLOR, LINDA, DAVIS | I | PRESIDENT/CORPORATE SECRETARY | NA | Control |
| TAYLOR, LINDA, DAVIS | I | PRESIDENT/CORPORATE SECRETARY | NA | Control |
| TAYLOR, LINDA, DAVIS | I | PRESIDENT/CORPORATE SECRETARY | NA | Control |
| TAYLOR, LINDA, DAVIS | I | PRESIDENT/CORPORATE SECRETARY | NA | Control |
| TAYLOR, LINDA, DAVIS | I | PRESIDENT/CORPORATE SECRETARY | NA | Control |
| TAYLOR, LINDA, DAVIS | I | PRESIDENT/CORPORATE SECRETARY | NA | Control |
| TAYLOR, LINDA, DAVIS | I | PRESIDENT/CORPORATE SECRETARY | NA | Control |
| CCM NEWCO III, INC. | DE | MEMBER | D | Control |
| CCM NEWCO III, INC. | DE | MEMBER | D | Control |
| CCM NEWCO III, INC. | DE | MEMBER | D | Control |
| CCM NEWCO III, INC. | DE | MEMBER | D | Control |
| CCM NEWCO III, INC. | DE | MEMBER | D | Control |
| CCM NEWCO III, INC. | DE | MEMBER | D | Control |
| CCM NEWCO III, INC. | DE | MEMBER | D | Control |
| CCM NEWCO III, INC. | DE | MEMBER | D | Control |
| DAVIS, MICHAEL, GEORGE | I | MEMBER | A | Control |
| DAVIS, MICHAEL, GEORGE | I | MEMBER | A | Control |
| DAVIS, MICHAEL, GEORGE | I | MEMBER | A | Control |
| DAVIS, MICHAEL, GEORGE | I | MEMBER | A | Control |
| DAVIS, MICHAEL, GEORGE | I | MEMBER | A | Control |
| DAVIS, MICHAEL, GEORGE | I | MEMBER | A | Control |
| DAVIS, MICHAEL, GEORGE | I | MEMBER | A | Control |
| DAVIS, MICHAEL, GEORGE | I | MEMBER | A | Control |
| GAMB, JAMES, DARRELL | I | MEMBER | A | Control |
| GAMB, JAMES, DARRELL | I | MEMBER | A | Control |
| GAMB, JAMES, DARRELL | I | MEMBER | A | Control |
| GAMB, JAMES, DARRELL | I | MEMBER | A | Control |
| GAMB, JAMES, DARRELL | I | MEMBER | A | Control |
| GAMB, JAMES, DARRELL | I | MEMBER | A | Control |
| GAMB, JAMES, DARRELL | I | MEMBER | A | Control |
| GAMB, JAMES, DARRELL | I | MEMBER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CITY NATIONAL CORPORATION | DE | CCM NEWCO III,INC. | E | Control |
| CITY NATIONAL CORPORATION | DE | CCM NEWCO III,INC. | E | Control |
| CITY NATIONAL CORPORATION | DE | CCM NEWCO III,INC. | E | Control |
| CITY NATIONAL CORPORATION | DE | CCM NEWCO III,INC. | E | Control |
| CITY NATIONAL CORPORATION | DE | CCM NEWCO III,INC. | E | Control |
| CITY NATIONAL CORPORATION | DE | CCM NEWCO III,INC. | E | Control |
| CITY NATIONAL CORPORATION | DE | CCM NEWCO III,INC. | E | Control |
| CITY NATIONAL CORPORATION | DE | CCM NEWCO III,INC. | E | Control |
Registrations
Federal
IA
Feb 16, 2007 REGISTERED
Notice Filings (5)
CA NH OR TX WA
Address
527 SOUTH LAKE AVENUE#104
PASADENA, CA 91101
USA
Phone: (626) 793-0377