ZEPHYR INVESTMENT MANAGEMENT
CRD #108020 SEC #801-55289 WESTLAKE VILLAGE, CA 805-496-6810
SEC Registered
Total AUM
$61M
Discretionary
$53.2M
Employees
1
Clients
26
Accounts
312
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 8, 2012
- 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 |
|---|---|---|---|---|
| MARINE, ERWIN | I | CEO/PRESIDENT | NA | Control |
| MARINE, ERWIN | I | CEO/PRESIDENT | NA | Control |
| MARINE, LUANNE, CHRISTINE | I | VICE PRESIDENT | NA | |
| MARINE, LUANNE, CHRISTINE | I | VICE PRESIDENT | NA | |
| MARINE, LUANNE, CHRISTINE | I | VICE PRESIDENT | NA | |
| MUNOZ, CHERYL, ANN | I | VICE PRESIDENT | NA | |
| MUNOZ, CHERYL, ANN | I | VICE PRESIDENT | NA | |
| MUNOZ, CHERYL, ANN | I | VICE PRESIDENT | NA | |
| MUNOZ, CHERYL, ANN | I | VICE PRESIDENT | NA | |
| MUNOZ, CHERYL, ANN | I | VICE PRESIDENT | NA | |
| MUNOZ, CHERYL, ANN | I | VICE PRESIDENT | NA | |
| MUNOZ, CHERYL, ANN | I | VICE PRESIDENT | NA | |
| MUNOZ, CHERYL, ANN | I | VICE PRESIDENT | NA | |
| NOLAN, PETER, JAMES | I | CFO/SECRETARY | NA | Control |
| NOLAN, PETER, JAMES | I | CFO/SECRETARY | NA | Control |
| NOLAN, PETER, JAMES | I | CFO/SECRETARY | NA | Control |
| NOLAN, PETER, JAMES | I | CFO/SECRETARY | NA | Control |
| NOLAN, PETER, JAMES | I | CFO/SECRETARY | NA | Control |
| NOLAN, PETER, JAMES | I | CFO/SECRETARY | NA | Control |
| NOLAN, PETER, JAMES | I | CFO/SECRETARY | NA | Control |
| NOLAN, PETER, JAMES | I | CFO/SECRETARY | NA | Control |
| NOLAN, PETER, JAMES | I | CFO/SECRETARY | NA | Control |
| NOLAN, PETER, JAMES | I | CFO/SECRETARY | NA | Control |
| NOLAN, PETER, JAMES | I | CFO/SECRETARY | NA | Control |
| ROUBIDOUX, MARSHA, LYNN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| ROUBIDOUX, MARSHA, LYNN | I | PRESIDENT/CCO | NA | Control |
| ROUBIDOUX, MARSHA, LYNN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| ROUBIDOUX, MARSHA, LYNN | I | CFO/SECRETARY | NA | Control |
| ROUBIDOUX, MARSHA, LYNN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| ROUBIDOUX, MARSHA, LYNN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| ROUBIDOUX, MARSHA, LYNN | I | PRESIDENT/CCO | NA | Control |
| ROUBIDOUX, MARSHA, LYNN | I | CFO/SECRETARY | NA | Control |
| ROUBIDOUX, MARSHA, LYNN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| ROUBIDOUX, MARSHA, LYNN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| ROUBIDOUX, MARSHA, LYNN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| ROUBIDOUX, MARSHA, LYNN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| ROUBIDOUX, MARSHA, LYNN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| NOLAN-ROUBIDOUX TRUST | DE | OWNER | E | Control |
| NOLAN-ROUBIDOUX TRUST | DE | OWNER | E | Control |
| NOLAN-ROUBIDOUX TRUST | DE | OWNER | E | Control |
| NOLAN-ROUBIDOUX TRUST | DE | OWNER | E | Control |
| NOLAN-ROUBIDOUX TRUST | DE | OWNER | E | Control |
| NOLAN-ROUBIDOUX TRUST | DE | OWNER | E | Control |
| NOLAN-ROUBIDOUX TRUST | DE | OWNER | E | Control |
| NOLAN-ROUBIDOUX TRUST | DE | OWNER | E | Control |
| NOLAN-ROUBIDOUX TRUST | DE | OWNER | E | Control |
| NOLAN-ROUBIDOUX TRUST | DE | OWNER | E | Control |
| NOLAN-ROUBIDOUX TRUST | DE | OWNER | E | Control |
| MARINE FAMILY TRUST | DE | OWNER | D | Control |
| MARINE FAMILY TRUST | DE | OWNER | D | Control |
| MARINE, ERWIN | I | CEO/PRESIDENT | D | Control |
| NOLAN-ROUBIDOUX TRUST | DE | OWNER | C | Control |
| NOLAN-ROUBIDOUX TRUST | DE | OWNER | C | Control |
| ROUBIDOUX, MARSHA, LYNN | I | CFO/SECRETARY | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| MARINE, ERWIN | I | MARINE FAMILY TRUST | F | Control |
| MARINE, ERWIN | I | MARINE FAMILY TRUST | F | Control |
| MARINE, LUANNE, CHRISTINE | I | MARINE FAMILY TRUST | F | |
| MARINE, LUANNE, CHRISTINE | I | MARINE FAMILY TRUST | F | |
| NOLAN, PETER, JAMES | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| NOLAN, PETER, JAMES | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| NOLAN, PETER, JAMES | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| NOLAN, PETER, JAMES | I | NOLAN-ROUBIDOUX TRUST | F | |
| NOLAN, PETER, JAMES | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| NOLAN, PETER, JAMES | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| NOLAN, PETER, JAMES | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| NOLAN, PETER, JAMES | I | NOLAN-ROUBIDOUX TRUST | F | |
| NOLAN, PETER, JAMES | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| NOLAN, PETER, JAMES | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| NOLAN, PETER, JAMES | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| NOLAN, PETER, JAMES | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| NOLAN, PETER, JAMES | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| ROUBIDOUX, MARSHA, LYNN | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| ROUBIDOUX, MARSHA, LYNN | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| ROUBIDOUX, MARSHA, LYNN | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| ROUBIDOUX, MARSHA, LYNN | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| ROUBIDOUX, MARSHA, LYNN | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| ROUBIDOUX, MARSHA, LYNN | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| ROUBIDOUX, MARSHA, LYNN | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| ROUBIDOUX, MARSHA, LYNN | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| ROUBIDOUX, MARSHA, LYNN | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| ROUBIDOUX, MARSHA, LYNN | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| ROUBIDOUX, MARSHA, LYNN | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| ROUBIDOUX, MARSHA, LYNN | I | NOLAN-ROUBIDOUX TRUST | F | Control |
| ROUBIDOUX, MARSHA, LYNN | I | NOLAN-ROUBIDOUX TRUST | F | Control |
Registrations
Federal
IA
May 8, 2012 REGISTERED
Notice Filings (5)
AZ CA FL TX WA
Address
3625 EAST THOUSAND OAKS BLVD#145
WESTLAKE VILLAGE, CA 91362
United States
Phone: 805-496-6810