RILEY INVESTMENT MANAGEMENT LLC
Legal name: RILEY INVESTMENT MANAGEMENT
CRD #112708 SEC #801-63083 LOS ANGELES, CA 310-966-1444
SEC Registered
Total AUM
$36.9M
Discretionary
$36.9M
Employees
5
Clients
0
Accounts
1
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 20, 2004
- 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 |
|---|---|---|---|---|
| AHN, JOHN, JONGDOO | I | CHIEF OPERATING OFFICER | NA | Control |
| BROGAN, ALLISON, VIRGINIA | I | CHIEF COMPLIANCE OFFICER | NA | |
| LIU, JANICE, ANNE | I | GENERAL COUNSEL | NA | |
| MCCOY, MICHAEL, RICHARD | I | CHIEF FINANCIAL OFFICER | NA | |
| MCCOY, MICHAEL, RICHARD | I | CHIEF FINANCIAL OFFICER | NA | |
| MCCOY, MICHAEL, RICHARD | I | CHIEF FINANCIAL OFFICER | NA | |
| SUZUKI, GARY, LANCE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TEJEDA, SHERRY, LEE | I | CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER | NA | |
| RILEY, BRYANT, RICHARD | I | CEO | E | Control |
| RILEY, BRYANT, RICHARD | I | CEO | E | Control |
| RILEY, BRYANT, RICHARD | I | MANAGING MEMBER | E | Control |
| RILEY, BRYANT, RICHARD | I | MANAGING MEMBER | E | Control |
Registrations
Federal
IA
Apr 20, 2004 REGISTERED
Notice Filings (1)
CA
Address
11100 SANTA MONICA BOULEVARD SUITE 800LOS ANGELES, CA 90025
USA
Phone: 310-966-1444