BABCOCK & BROWN INVESTMENT ADVISER LLC
CRD #113909 SEC #801-60431 SAN FRANCISCO, CA 415-512-1515
SEC Registered
Total AUM
$65.9M
Discretionary
$65.9M
Employees
5
Clients
--
Accounts
8
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 22, 2007
- 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 |
|---|---|---|---|---|
| BRICKMAN, DANIEL, JACOB | I | PRESIDENT | NA | Control |
| BRICKMAN, DANIEL, JACOB | I | PRESIDENT | NA | Control |
| BRICKMAN, DANIEL, JACOB | I | VICE PRESIDENT | NA | Control |
| BRICKMAN, DANIEL, JACOB | I | PRESIDENT | NA | Control |
| BRICKMAN, DANIEL, JACOB | I | PRESIDENT | NA | Control |
| BRICKMAN, DANIEL, JACOB | I | PRESIDENT | NA | Control |
| BRICKMAN, DANIEL, JACOB | I | PRESIDENT | NA | Control |
| BRICKMAN, DANIEL, JACOB | I | VICE PRESIDENT | NA | Control |
| BRICKMAN, DANIEL, JACOB | I | VICE PRESIDENT | NA | Control |
| CRANE, DAVID, GREENCLAY | I | PRESIDENT, TREASURER | NA | Control |
| CRANE, DAVID, GREENCLAY | I | PRESIDENT | NA | Control |
| CRANE, DAVID, GREENCLAY | I | PRESIDENT | NA | Control |
| CRANE, DAVID, GREENCLAY | I | PRESIDENT | NA | Control |
| DIXON, STEVEN, JOHN | I | VICE PRESIDENT | NA | Control |
| DIXON, STEVEN, JOHN | I | VICE PRESIDENT | NA | Control |
| DIXON, STEVEN, JOHN | I | VICE PRESIDENT | NA | Control |
| DIXON, STEVEN, JOHN | I | VICE PRESIDENT | NA | Control |
| EILERS, MATTHEW, ROBERT | I | VICE PRESIDENT | NA | Control |
| EILERS, MATTHEW, ROBERT | I | VICE PRESIDENT | NA | Control |
| EILERS, MATTHEW, ROBERT | I | VICE PRESIDENT | NA | Control |
| FAGERSTROM, KAREN, RUTH | I | VICE PRESIDENT, SECRETARY | NA | Control |
| FAGERSTROM, KAREN, RUTH | I | VICE PRESIDENT, SECRETARY | NA | Control |
| HALL, JUDITH, ANN | I | VICE PRESIDENT | NA | Control |
| HALL, JUDITH, ANN | I | VICE PRESIDENT | NA | Control |
| HALL, JUDITH, ANN | I | VICE PRESIDENT | NA | Control |
| HALL, JUDITH, ANN | I | VICE PRESIDENT | NA | Control |
| HALL, JUDITH, ANN | I | VICE PRESIDENT | NA | Control |
| HALL, JUDITH, ANN | I | VICE PRESIDENT | NA | Control |
| HALL, JUDITH, ANN | I | VICE PRESIDENT | NA | Control |
| HALL, JUDITH, ANN | I | VICE PRESIDENT | NA | Control |
| HALL, JUDITH, ANN | I | VICE PRESIDENT | NA | Control |
| HAYNES, MICHAEL, ALAN | I | VICE PRESIDENT | NA | Control |
| HAYNES, MICHAEL, ALAN | I | VICE PRESIDENT | NA | Control |
| HAYNES, MICHAEL, ALAN | I | VICE PRESIDENT | NA | Control |
| HAYNES, MICHAEL, ALAN | I | VICE PRESIDENT | NA | Control |
| HAYNES, MICHAEL, ALAN | I | VICE PRESIDENT | NA | Control |
| HAYNES, MICHAEL, ALAN | I | VICE PRESIDENT | NA | Control |
| HAYNES, MICHAEL, ALAN | I | VICE PRESIDENT | NA | Control |
| HAYNES, MICHAEL, ALAN | I | VICE PRESIDENT | NA | Control |
| HAYNES, MICHAEL, ALAN | I | VICE PRESIDENT | NA | Control |
| HITCHINGS, NANCY, JEAN | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | Control |
| HITCHINGS, NANCY, JEAN | I | VICE PRESIDENT, CCO | NA | Control |
| HITCHINGS, NANCY, JEAN | I | VICE PRESIDENT | NA | Control |
| HITCHINGS, NANCY, JEAN | I | VICE PRESIDENT | NA | Control |
| HITCHINGS, NANCY, JEAN | I | VICE PRESIDENT, CCO | NA | Control |
| HITCHINGS, NANCY, JEAN | I | VICE PRESIDENT | NA | Control |
| HITCHINGS, NANCY, JEAN | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | Control |
| HITCHINGS, NANCY, JEAN | I | VICE PRESIDENT | NA | Control |
| HITCHINGS, NANCY, JEAN | I | VICE PRESIDENT | NA | Control |
| HITCHINGS, NANCY, JEAN | I | VICE PRESIDENT | NA | Control |
| JAWORSKI, JAMES, DAVID | I | VICE PRESIDENT, TREASURER | NA | Control |
| JAWORSKI, JAMES, DAVID | I | VICE PRESIDENT, TREASURER | NA | Control |
| JAWORSKI, JAMES, DAVID | I | VICE PRESIDENT, TREASURER | NA | Control |
| JAWORSKI, JAMES, DAVID | I | VICE PRESIDENT, TREASURER | NA | Control |
| JAWORSKI, JAMES, DAVID | I | VICE PRESIDENT, TREASURER | NA | Control |
| JAWORSKI, JAMES, DAVID | I | VICE PRESIDENT, TREASURER | NA | Control |
| JAWORSKI, JAMES, DAVID | I | VICE PRESIDENT, TREASURER | NA | Control |
| JAWORSKI, JAMES, DAVID | I | VICE PRESIDENT, TREASURER | NA | Control |
| JAWORSKI, JAMES, DAVID | I | VICE PRESIDENT, TREASURER | NA | Control |
| LACHOWICZ, TED, ANTHONY | I | VICE PRESIDENT | NA | Control |
| LACHOWICZ, TED, ANTHONY | I | VICE PRESIDENT | NA | Control |
| LACHOWICZ, TED, ANTHONY | I | VICE PRESIDENT, SECRETARY | NA | Control |
| LACHOWICZ, TED, ANTHONY | I | VICE PRESIDENT | NA | Control |
| LACHOWICZ, TED, ANTHONY | I | VICE PRESIDENT | NA | Control |
| LACHOWICZ, TED, ANTHONY | I | VICE PRESIDENT | NA | Control |
| LACHOWICZ, TED, ANTHONY | I | VICE PRESIDENT | NA | Control |
| LACHOWICZ, TED, ANTHONY | I | VICE PRESIDENT | NA | Control |
| LACHOWICZ, TED, ANTHONY | I | VICE PRESIDENT | NA | Control |
| LACHOWICZ, TED, ANTHONY | I | VICE PRESIDENT | NA | Control |
| MCGONAGLE, THOMAS, GEORGE | I | VICE PRESIDENT | NA | Control |
| MCGONAGLE, THOMAS, GEORGE | I | VICE PRESIDENT | NA | Control |
| MCGONAGLE, THOMAS, GEORGE | I | VICE PRESIDENT | NA | Control |
| MCGONAGLE, THOMAS, GEORGE | I | VICE PRESIDENT | NA | Control |
| SCHOLES, JAN, BLAUSTEIN | I | VICE PRESIDENT, SECRETARY | NA | Control |
| SCHOLES, JAN, BLAUSTEIN | I | VICE PRESIDENT, SECRETARY | NA | Control |
| SCHOLES, JAN, BLAUSTEIN | I | VICE PRESIDENT, SECRETARY | NA | Control |
| SCHOLES, JAN, BLAUSTEIN | I | VICE PRESIDENT, SECRETARY | NA | Control |
| SCHOLES, JAN, BLAUSTEIN | I | VICE PRESIDENT, SECRETARY | NA | Control |
| SCHOLES, JAN, BLAUSTEIN | I | VICE PRESIDENT, SECRETARY | NA | Control |
| SCHOLES, JAN, BLAUSTEIN | I | VICE PRESIDENT, SECRETARY | NA | Control |
| BABCOCK & BROWN LP | DE | MANAGER, MEMBER | E | Control |
| BABCOCK & BROWN LP | DE | MANAGER, MEMBER | E | Control |
| BABCOCK & BROWN LP | DE | MANAGER, MEMBER | E | Control |
| BABCOCK & BROWN LP | DE | MANAGER, MEMBER | E | Control |
| BABCOCK & BROWN LP | DE | MANAGER, MEMBER | E | Control |
| BABCOCK & BROWN LP | DE | MANAGER, MEMBER | E | Control |
| BABCOCK & BROWN LP | DE | MANAGER, MEMBER | E | Control |
| BABCOCK & BROWN LP | DE | MANAGER, MEMBER | E | Control |
| BABCOCK & BROWN LP | DE | MANAGER, MEMBER | E | Control |
| BABCOCK & BROWN LP | DE | MANAGER, MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BABCOCK & BROWN GP LLC | DE | BABCOCK & BROWN LP | F | Control |
| BABCOCK & BROWN GP LLC | DE | BABCOCK & BROWN LP | F | Control |
| BABCOCK & BROWN GP LLC | DE | BABCOCK & BROWN LP | F | Control |
| BABCOCK & BROWN GP LLC | DE | BABCOCK & BROWN LP | F | Control |
| BABCOCK & BROWN GP LLC | DE | BABCOCK & BROWN LP | F | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN LP | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN LP | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN LP | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN GP LLC | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN LP | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN GP LLC | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN LP | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN LP | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN GP LLC | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN LP | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN LP | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN LP | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN GP LLC | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN LP | E | Control |
| BABCOCK & BROWN HOLDINGS INC. | DE | BABCOCK & BROWN GP LLC | E | Control |
| BABCOCK & BROWN INTERNATIONAL PTY LTD | FE | BABCOCK & BROWN HOLDINGS INC. | E | Control |
| BABCOCK & BROWN INTERNATIONAL PTY LTD | FE | BABCOCK & BROWN HOLDINGS INC. | E | Control |
| BABCOCK & BROWN INTERNATIONAL PTY LTD | FE | BABCOCK & BROWN HOLDINGS INC. | E | Control |
| BABCOCK & BROWN INTERNATIONAL PTY LTD | FE | BABCOCK & BROWN HOLDINGS INC. | E | Control |
| BABCOCK & BROWN INTERNATIONAL PTY LTD | FE | BABCOCK & BROWN HOLDINGS INC. | E | Control |
| BABCOCK & BROWN LIMITED | FE | BABCOCK & BROWN INTERNATIONAL PTY LTD | D | Control |
| BABCOCK & BROWN LIMITED | FE | BABCOCK & BROWN INTERNATIONAL PTY LTD | D | Control |
| BABCOCK & BROWN LIMITED | FE | BABCOCK & BROWN INTERNATIONAL PTY LTD | D | Control |
| BABCOCK & BROWN LIMITED | FE | BABCOCK & BROWN INTERNATIONAL PTY LTD | D | Control |
| BABCOCK & BROWN LIMITED | FE | BABCOCK & BROWN INTERNATIONAL PTY LTD | D | Control |
Registrations
Federal
IA
Feb 22, 2007 REGISTERED
Notice Filings (1)
CA
Address
2 HARRISON STREET, 6TH FLOORSAN FRANCISCO, CA 94105
USA
Phone: 415-512-1515