BERGER/BAY ISLE LLC
CRD #108865 SEC #801-56271 DENVER, CO 303-329-0200
SEC Registered
Total AUM
$400M
Discretionary
$400M
Employees
5
Clients
--
Accounts
347
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 26, 2002
- 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 |
|---|---|---|---|---|
| MERTENS, DAVID, GERHARD | I | VICE PRESIDENT | NA | |
| MERTENS, DAVID, GERHARD | I | VICE PRESIDENT | NA | |
| MERTENS, DAVID, GERHARD | I | VICE PRESIDENT | NA | |
| POLLOCK, GARY | I | CHIEF OPERATING OFFICER | NA | |
| POLLOCK, GARY | I | CHIEF OPERATING OFFICER | NA | |
| POLLOCK, GARY | I | CHIEF OPERATING OFFICER | NA | |
| SCHAFF, WILLIAM, FRANZ KIM | I | CHIEF INVESTMENT OFFICER | NA | |
| SCHAFF, WILLIAM, FRANZ KIM | I | CHIEF INVESTMENT OFFICER | NA | |
| SCHAFF, WILLIAM, FRANZ KIM | I | CHIEF INVESTMENT OFFICER | NA | |
| THOMPSON, JACK, RALPH | I | PRESIDENT AND CEO | NA | Control |
| THOMPSON, JACK, RALPH | I | PRESIDENT AND CEO | NA | Control |
| THOMPSON, JACK, RALPH | I | PRESIDENT AND CEO | NA | Control |
| BERGER FINANCIAL GROUP LLC | DE | MEMBER | E | Control |
| BERGER LLC | DE | MEMBER | E | Control |
| BERGER LLC | DE | MEMBER | E | Control |
| BAY ISLE FINANCIAL CORPORATION | DE | MEMBER | B | |
| BAY ISLE FINANCIAL CORPORATION | DE | MEMBER | B | |
| BAY ISLE FINANCIAL LLC | DE | MEMBER | B |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| STILWELL FINANCIAL INC. | DE | STILWELL MANAGEMENT, INC. | E | Control |
| STILWELL FINANCIAL INC. | DE | STILWELL MANAGEMENT, INC. | E | Control |
| STILWELL FINANCIAL INC. | DE | STILWELL MANAGEMENT, INC. | E | Control |
| STILWELL MANAGEMENT, INC. | DE | BERGER LLC | E | Control |
| STILWELL MANAGEMENT, INC. | DE | BERGER LLC | E | Control |
| STILWELL MANAGEMENT, INC. | DE | BERGER FINANCIAL GROUP LLC | E | Control |
| SCHAFF, WILLIAM, FRANZ KIM | I | BAY ISLE FINANCIAL CORPORATION | D | Control |
| SCHAFF, WILLIAM, FRANZ KIM | I | BAY ISLE FINANCIAL CORPORATION | D | Control |
| POLLOCK, GARY | I | BAY ISLE FINANCIAL CORPORATION | C | Control |
| POLLOCK, GARY | I | BAY ISLE FINANCIAL CORPORATION | C | Control |
Registrations
Federal
IA
Mar 26, 2002 REGISTERED
Notice Filings (33)
AK AZ CA CO CT DC DE FL GA HI IA IL IN KS KY LA MA MD MN MO NC NH NJ NV NY OH OR PA TN TX VA WA WI
Address
210 UNIVERSITY BLVDSUITE 800
DENVER, CO 80206
USA
Phone: 303-329-0200