SKBA CAPITAL MANAGEMENT, LLC
CRD #108542 SEC #801-56391 SAN FRANCISCO, CA 415-989-7852
SEC Registered
Total AUM
$662.4M
Discretionary
$662.4M
Employees
10
Clients
--
Accounts
25
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 3, 2025
- Branch Offices
- 0
- LEI
- 254900O6CK0RH6GDR823
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | |
| ADLER, RICHARD, HOWARD | I | DIRECTOR | NA | |
| KAPLAN, KENNETH, JAY | I | MEMBER, CEO | NA | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN, CEO | NA | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN | NA | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN | NA | Control |
| ZUCK, MATTHEW, DEAN | I | MEMBER, SR. ANALYST, PORT. MGR. | NA | Control |
| ZUCK, MATTHEW, DEAN | I | MEMBER, SR. ANALYST, PORT. MGR. | NA | Control |
| ZUCK, MATTHEW, DEAN | I | MEMBER, SVP, DIR. CORPORATE DEVELOPMENT | NA | Control |
| ZUCK, MATTHEW, DEAN | I | MEMBER, SVP, SENIOR PORTFOLIO MANAGER | NA | Control |
| ZUCK, MATTHEW, DEAN | I | MEMBER, SVP, DIR. CORPORATE DEVELOPMENT | NA | Control |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | D | Control |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | D | Control |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | D | Control |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | D | Control |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | D | Control |
| CCM HOLDINGS, INC. | DE | MEMBER | D | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, PRESIDENT, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, PRESIDENT, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| BISCHEL, ANDREW, WALTER | I | MEMBER, CHAIRMAN, CEO, CIO | B | Control |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| CCM HOLDINGS III, LLC | DE | INTERESTHOLDER | B | |
| KE, EVAN, XIAOYI | I | MEMBER, DIRECTOR OF QUANTITATIVE RESEARCH | B | |
| KE, EVAN, XIAOYI | I | MEMBER, DIRECTOR OF QUANTITATIVE RESEARCH | B | |
| KE, EVAN, XIAOYI | I | MEMBER, DIRECTOR OF QUANTITATIVE RESEARCH | B | |
| KE, EVAN, XIAOYI | I | MEMBER, DIRECTOR OF QUANTITATIVE RESEARCH | B | |
| KE, EVAN, XIAOYI | I | MEMBER, DIRECTOR OF QUANTITATIVE RESEARCH | B | |
| KE, EVAN, XIAOYI | I | MEMBER, DIRECTOR OF QUANTITATIVE RESEARCH | B | |
| KE, EVAN, XIAOYI | I | OWNER | B | |
| KE, EVAN, XIAOYI | I | OWNER | B | |
| KE, EVAN, XIAOYI | I | OWNER | B | |
| KE, EVAN, XIAOYI | I | OWNER | B | |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, CEO, CFO & DIRECTOR OF RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, CEO, CFO & DIRECTOR OF RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, CEO, CFO & DIRECTOR OF RESEARCH | B | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, CEO, CFO & DIRECTOR OF RESEARCH | B | Control |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, DIRECTOR OF INSTITUTIONAL PORTFOLIO MANAGEMENT | B | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, DIRECTOR OF INSTITUTIONAL PORTFOLIO MANAGEMENT | B | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, DIRECTOR OF INSTITUTIONAL PORTFOLIO MANAGEMENT | B | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, DIRECTOR OF INSTITUTIONAL PORTFOLIO MANAGEMENT | B | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, DIRECTOR OF INSTITUTIONAL PORTFOLIO MANAGEMENT | B | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, DIRECTOR OF INSTITUTIONAL PORTFOLIO MANAGEMENT | B | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, PRESIDENT, CIO & DIR. OF INSTITUTIONAL PORTFOLIO MANAGEMENT | B | Control |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, PRESIDENT, CIO & DIR. OF INSTITUTIONAL PORTFOLIO MANAGEMENT | B | Control |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, PRESIDENT, CIO & DIR. OF INSTITUTIONAL PORTFOLIO MANAGEMENT | B | Control |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, PRESIDENT, CIO & DIR. OF INSTITUTIONAL PORTFOLIO MANAGEMENT | B | Control |
| THE BISCHEL FAMILY REVOCABLE TRUST | DE | OWNER | B | |
| THE BISCHEL FAMILY REVOCABLE TRUST | DE | OWNER | B | |
| THE BISCHEL FAMILY REVOCABLE TRUST | DE | OWNER | B | |
| THE BISCHEL FAMILY REVOCABLE TRUST | DE | OWNER | B | |
| BISCHEL, ANDREW, WALTER | I | PRESIDENT | A | Control |
| BISCHEL, ANDREW, WALTER | I | PRESIDENT | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER, CHAIRMAN | A | Control |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | |
| KAPLAN, KENNETH, JAY | I | MEMBER | A | |
| KE, EVAN, XIAOYI | I | MEMBER, SECURITIES ANALYST & PORTFOLIO MANAGER | A | |
| KE, EVAN, XIAOYI | I | MEMBER, SECURITIES ANALYST & PORTFOLIO MANAGER | A | |
| KE, EVAN, XIAOYI | I | MEMBER, SECURITIES ANALYST & PORTFOLIO MANAGER | A | |
| KE, EVAN, XIAOYI | I | MEMBER, SECURITIES ANALYST & PORTFOLIO MANAGER | A | |
| KE, EVAN, XIAOYI | I | MEMBER, SECURITIES ANALYST & PORTFOLIO MANAGER | A | |
| KE, EVAN, XIAOYI | I | MEMBER, SECURITIES ANALYST & PORTFOLIO MANAGER | A | |
| KE, EVAN, XIAOYI | I | MEMBER, DIRECTOR OF QUANTITATIVE RESEARCH | A | |
| KE, EVAN, XIAOYI | I | MEMBER, DIRECTOR OF QUANTITATIVE RESEARCH | A | |
| KE, EVAN, XIAOYI | I | MEMBER, DIRECTOR OF QUANTITATIVE RESEARCH | A | |
| KE, EVAN, XIAOYI | I | MEMBER, DIRECTOR OF QUANTITATIVE RESEARCH | A | |
| MANN, SHELLEY, HORROCKS | I | MEMBER, DIRECTOR OF TRADING, CCO | A | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, DIR. TRADING, CHIEF COMPLIANCE OFFICER | A | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | A | Control |
| MANN, SHELLEY, HORROCKS | I | MEMBER, SVP, DIR. TRADING, CHIEF COMPLIANCE OFFICER | A | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, DIRECTOR OF EQUITY RESERACH | A | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, DIR. EQUITY RES., PORT MGR. | A | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | A | Control |
| ROTHE, JOSHUA, JACQUES | I | MEMBER, PRESIDENT, DIR. RESEARCH | A | Control |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, SECURITIES ANALYST & PORTFOLIO MANAGER | A | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, SECURITIES ANALYST & PORTFOLIO MANAGER | A | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, SECURITIES ANALYST & PORTFOLIO MANAGER | A | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, SECURITIES ANALYST & PORTFOLIO MANAGER | A | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, SECURITIES ANALYST & PORTFOLIO MANAGER | A | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, SECURITIES ANALYST & PORTFOLIO MANAGER | A | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, DIRECTOR OF INSTITUTIONAL PORTFOLIO MANAGEMENT | A | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, DIRECTOR OF INSTITUTIONAL PORTFOLIO MANAGEMENT | A | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, DIRECTOR OF INSTITUTIONAL PORTFOLIO MANAGEMENT | A | |
| SEGURA, MATTHEW, RICARDO | I | MEMBER, DIRECTOR OF INSTITUTIONAL PORTFOLIO MANAGEMENT | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CITY NATIONAL CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT LLC | DE | CCM HOLDINGS III, LLC | E | Control |
| CONVERGENT CAPITAL MANAGEMENT, INC. | DE | CCM HOLDINGS, INC. | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| RBC USA HOLDCO CORPORATION | DE | CONVERGENT CAPITAL MANAGEMENT LLC | E | Control |
| ROYAL BANK OF CANADA | DE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ROYAL BANK OF CANADA | FE | RBC USA HOLDCO CORPORATION | E | Control |
| ADLER, RICHARD, HOWARD | I | CONVERGENT CAPITAL MANAGEMENT, INC. | C | Control |
| GRIFFITH, HARRY, TOM | I | CONVERGENT CAPITAL MANAGEMENT, INC. | C | Control |
| HAYES, JAMES, EDWARD | I | CONVERGENT CAPITAL MANAGEMENT, INC. | C | Control |
Registrations
Federal
IA
Jun 3, 2025 REGISTERED
Notice Filings (46)
AK AL AR AZ CA CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MN MO MS MT NC NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WV
Address
601 CALIFORNIA ST., SUITE 1500SAN FRANCISCO, CA 94108-2805
United States
Phone: 415-989-7852