NEEDELMAN ASSET MANAGEMENT INC
CRD #110329 SEC #801-113454 NEWPORT BEACH, CA 949-717-3400
SEC Registered
Total AUM
$1.6M
Discretionary
$1.6M
Employees
3
Clients
0
Accounts
1
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- MAY
- Registration Date
- --
- Latest Filing
- Aug 9, 2019
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| JUNG, TONY, KYUWHAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JUNG, TONY, KYUWHAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JUNG, TONY, KYUWHAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NEEDELMAN, MITCHEL, EVAN | I | PRESIDENT | NA | Control |
| NEEDELMAN, MITCHEL, EVAN | I | PRESIDENT | NA | Control |
| NEEDELMAN, MITCHEL, EVAN | I | PRESIDENT | NA | Control |
| NGUYEN, LUONG, DUY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WU, DAVID, W | I | PRESIDENT | NA | |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | E | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER | E | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER | E | Control |
| SPECTRUM ASSET MANAGEMENT INC | DE | SHAREHOLDER | E | Control |
| SPECTRUM ASSET MANAGEMENT INC | DE | SHAREHOLDER | E | Control |
| SPECTRUM ASSET MANAGEMENT INC | DE | SHAREHOLDER | E | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | D | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | D | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | D | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER | D | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER | D | Control |
| PALLEY, ROGER, BRUCE | I | PRESIDENT | D | Control |
| PALLEY, ROGER, BRUCE | I | PRESIDENT | D | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | C | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | C | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | C | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | C | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | C | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER | C | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | C | Control |
| NEEDELMAN, MITCHEL, EVAN | I | PRESIDENT | C | Control |
| NEEDELMAN, MITCHEL, EVAN | I | PRESIDENT | C | Control |
| NEEDELMAN, MITCHEL, EVAN | I | PRESIDENT | C | Control |
| NEEDELMAN, MITCHEL, EVAN | I | PRESIDENT | C | Control |
| NGUYEN, LUONG, DUY | I | EXECUTIVE VICE PRESIDENT | C | Control |
| SONOMA CAPITAL LLC | DE | DIRECT OWNER | C | Control |
| NEEDELMAN, DOROTHY, ALICIA | I | DIRECT OWNER | B | Control |
| NEEDELMAN, DOROTHY, ALICIA | I | DIRECT OWNER | B | Control |
| NEEDELMAN, DOROTHY, ALICIA | I | DIRECT OWNER | B | Control |
| NEEDELMAN, DOROTHY, ALICIA | I | DIRECT OWNER | B | Control |
| NEEDELMAN, DOROTHY, ALICIA | I | DIRECT OWNER | B | Control |
| NEEDELMAN, DOROTHY, ALICIA | I | DIRECT OWNER | B | Control |
| NEEDELMAN, MITCHEL, EVAN | I | DIRECT OWNER | B | Control |
| NEEDELMAN, MITCHEL, EVAN | I | PRESIDENT | B | Control |
| NEEDELMAN, MITCHEL, EVAN | I | PRESIDENT | B | Control |
| NEEDELMAN, MITCHEL, EVAN | I | PRESIDENT | B | Control |
| NEEDELMAN, MITCHEL, EVAN | I | VICE PRESIDENT | B | Control |
| NEEDELMAN, MITCHEL, EVAN | I | DIRECT OWNER | B | Control |
| NEEDELMAN, MITCHEL, EVAN | I | PRESIDENT | B | Control |
| WIATT, CARRI, LUREA | I | DIRECT OWNER | B | Control |
| WIATT, CARRI, LUREA | I | DIRECT OWNER | B | Control |
| WIATT, CARRI, LUREA | I | DIRECT OWNER | B | Control |
| WIATT, CARRI, LUREA | I | DIRECT OWNER | B | Control |
| WIATT, CARRI, LUREA | I | DIRECT OWNER | B | Control |
| WIATT, CARRI, LUREA | I | DIRECT OWNER | B | Control |
| NEEDELMAN FAMILY 1995 SPECIAL TRUST | DE | DIRECT OWNER | A | Control |
| NEEDELMAN FAMILY 1995 SPECIAL TRUST | DE | DIRECT OWNER | A | Control |
| NEEDELMAN FAMILY 1995 SPECIAL TRUST | DE | DIRECT OWNER | A | Control |
| NEEDELMAN, DOROTHY, ALICIA | I | DIRECT OWNER | A | |
| NEEDELMAN, DOROTHY, ALICIA | I | DIRECT OWNER | A | |
| NEEDELMAN, DOROTHY, ALICIA | I | DIRECT OWNER | A | Control |
| VILLELLA, CARRI, LUREA | I | DIRECT OWNER | A | |
| VILLELLA, CARRI, LUREA | I | DIRECT OWNER | A | |
| VILLELLA, CARRI, LUREA | I | DIRECT OWNER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| DVA INVESTMENT (BVI) LIMITED | FE | SONOMA CAPITAL LLC | F | |
| KELLY, RYAN, LEE | I | RYAN LEE KELLY SEPARATE PROPERTY TRUST DTD 01/11/2006 | F | Control |
| KELLY, RYAN, LEE | I | RYAN LEE KELLY SEPARATE PROPERTY TRUST DTD 01/11/2006 | F | Control |
| KELLY, RYAN, LEE | I | RYAN LEE KELLY SEPARATE PROPERTY TRUST DTD 01/11/2006 | F | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | NEEDELMAN FAMILY 1995 SPECIAL TRUST | F | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | NEEDELMAN FAMILY 1995 SPECIAL TRUST | F | Control |
| NEEDELMAN, CHESTER, JOSEPH | I | NEEDELMAN FAMILY 1995 SPECIAL TRUST | F | Control |
| NEEDELMAN, DOROTHY, ALICIA | I | NEEDELMAN FAMILY 1995 SPECIAL TRUST | F | |
| NEEDELMAN, DOROTHY, ALICIA | I | NEEDELMAN FAMILY 1995 SPECIAL TRUST | F | |
| NEEDELMAN, DOROTHY, ALICIA | I | NEEDELMAN FAMILY 1995 SPECIAL TRUST | F | |
| NEEDELMAN, MITCHEL, EVAN | I | NEEDELMAN FAMILY 1995 SPECIAL TRUST | F | |
| NEEDELMAN, MITCHEL, EVAN | I | NEEDELMAN FAMILY 1995 SPECIAL TRUST | F | |
| NEEDELMAN, MITCHEL, EVAN | I | NEEDELMAN FAMILY 1995 SPECIAL TRUST | F | |
| WILLIS, CARRI, LUREA | I | NEEDELMAN FAMILY 1995 SPECIAL TRUST | F | |
| WILLIS, CARRI, LUREA | I | NEEDELMAN FAMILY 1995 SPECIAL TRUST | F | |
| WILLIS, CARRI, LUREA | I | NEEDELMAN FAMILY 1995 SPECIAL TRUST | F | |
| WU, DAVID, W | I | SONOMA CAPITAL LLC | F | |
| YIP, WING, H | I | SONOMA CAPITAL LLC | F | |
| RYAN LEE KELLY SEPARATE PROPERTY TRUST DTD 01/11/2006 | DE | SPECTRUM ASSET MANAGEMENT INC | E | Control |
| RYAN LEE KELLY SEPARATE PROPERTY TRUST DTD 01/11/2006 | DE | SPECTRUM ASSET MANAGEMENT INC | E | Control |
| RYAN LEE KELLY SEPARATE PROPERTY TRUST DTD 01/11/2006 | DE | SPECTRUM ASSET MANAGEMENT INC | E | Control |
Registrations
Federal
IA
Aug 9, 2019 REGISTERED
Notice Filings (48)
AK AL AR AZ CA CT DC DE FL GA HI IA IL IN KS KY LA MA MD ME MI MN MO MS MT NC NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VT WA WI WV
Address
1301 DOVE STREETSUITE 970
NEWPORT BEACH, CA 92660-2453
United States
Phone: 949-717-3400