S & Y ASSET MANAGEMENT LLC
CRD #129754 SEC #801-67717 SAN FRANCISCO, CA 415-268-2900
SEC Registered Broker-Dealer
Total AUM
$13.9M
Discretionary
$9.8M
Employees
--
Clients
10
Accounts
48
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- Oct 21, 2005
- 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 |
|---|---|---|---|---|
| EVANS, WILLIAM ASHTON III | I | CEO/MANAGING DIRECTOR, CLIENT SERVICES, SROP/CROP | NA | Control |
| EVANS, WILLIAM ASHTON III | I | CEO/MANAGING DIRECTOR, CLIENT SERVICES, SROP/CROP | NA | Control |
| EVANS, WILLIAM ASHTON III | I | CEO/MANAGING DIRECTOR, CLIENT SERVICES, SROP/CROP | NA | Control |
| EVANS, WILLIAM ASHTON III | I | MANAGING DIRECTOR, CLIENT SERVICES, SROP/CROP | NA | Control |
| EVANS, WILLIAM ASHTON III | I | MANAGING DIRECTOR, CLIENT SERVICES, SROP/CROP | NA | Control |
| EVANS, WILLIAM ASHTON III | I | CEO/MANAGING DIRECTOR, CLIENT SERVICES, SROP/CROP | NA | Control |
| EVANS, WILLIAM ASHTON III | I | CEO/MANAGING DIRECTOR, CLIENT SERVICES, SROP/CROP | NA | Control |
| EVANS, WILLIAM ASHTON III | I | CEO/MANAGING DIRECTOR, CLIENT SERVICES, SROP/CROP | NA | Control |
| GAGE, MITCHELL HUGHEY | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| GAGE, MITCHELL HUGHEY | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| GAGE, MITCHELL HUGHEY | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| GAGE, MITCHELL HUGHEY | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| GAGE, MITCHELL HUGHEY | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| GAGE, MITCHELL HUGHEY | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| GAGE, MITCHELL HUGHEY | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| GAGE, MITCHELL HUGHEY | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| GAGE, MITCHELL HUGHEY | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| GAGE, MITCHELL HUGHEY | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| GAGE, MITCHELL, HUGHEY | I | CFO | NA | Control |
| GAGE, MITCHELL, HUGHEY | I | CFO | NA | Control |
| GAGE, MITCHELL, HUGHEY | I | CFO | NA | Control |
| GAGE, MITCHELL, HUGHEY | I | CFO | NA | Control |
| LOCKARD, WILLIAM THOMAS JR | I | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | NA | Control |
| LOCKARD, WILLIAM THOMAS JR | I | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | NA | Control |
| LOCKARD, WILLIAM, THOMAS | I | CEO | NA | Control |
| LOCKARD, WILLIAM, THOMAS | I | CEO | NA | Control |
| LOCKARD, WILLIAM, THOMAS | I | CEO | NA | Control |
| NAKAO, ROBIN LEA | I | CHIEF FINANCIAL OFFICER/FINOP/INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER | NA | |
| NAKAO, ROBIN LEA | I | CHIEF FINANCIAL OFFICER/FINOP/INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER | NA | |
| NAKAO, ROBIN LEA | I | CHIEF FINANCIAL OFFICER/FINOP | NA | |
| NAKAO, ROBIN LEA | I | CHIEF FINANCIAL OFFICER/FINOP | NA | |
| NAKAO, ROBIN LEA | I | CHIEF FINANCIAL OFFICER/FINOP/INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER | NA | |
| NAKAO, ROBIN LEA | I | CHIEF FINANCIAL OFFICER/FINOP/INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER | NA | |
| NAKAO, ROBIN LEA | I | CHIEF FINANCIAL OFFICER/FINOP/INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER | NA | |
| PIAZZA, JOSEPH JOHN | I | MANAGING MEMBER | NA | Control |
| PIAZZA, JOSEPH JOHN | I | MANAGING MEMBER | NA | Control |
| PIAZZA, JOSEPH JOHN | I | MANAGING MEMBER | NA | Control |
| PIAZZA, JOSEPH JOHN | I | MANAGING MEMBER | NA | Control |
| PIAZZA, JOSEPH JOHN | I | MANAGING MEMBER | NA | Control |
| PIAZZA, JOSEPH JOHN | I | MANAGING MEMBER | NA | Control |
| PIAZZA, JOSEPH JOHN | I | MANAGING MEMBER | NA | Control |
| SMITH, ERIC JOHN | I | CHIEF COMPLIANCE OFFICER AND SROP/CROP | NA | |
| SMITH, ERIC JOHN | I | CHIEF COMPLIANCE OFFICER AND SROP/CROP | NA | |
| SPORL, PRISCILLA | I | CHIEF COMPLIANCE OFFICER/COO | NA | Control |
| SPORL, PRISCILLA | I | CHIEF COMPLIANCE OFFICER/COO | NA | Control |
| SPORL, PRISCILLA | I | CHIEF COMPLIANCE OFFICER/COO | NA | Control |
| SPORL, PRISCILLA | I | CHIEF COMPLIANCE OFFICER/COO | NA | Control |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER, AML OFFICER | NA | |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER, AML OFFICER | NA | |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER, AML OFFICER | NA | |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER, AML OFFICER | NA | |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER, AML OFFICER | NA | |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER, AML OFFICER | NA | |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER, AML OFFICER | NA | |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER, AML OFFICER | NA | |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER, AML OFFICER | NA | |
| ZINMAN, ROBERT HAROLD | I | CHIEF COMPLIANCE OFFICER, AML OFFICER | NA | |
| S & Y MANAGEMENT INC. | DE | SOLE SHAREHOLDER | E | Control |
| S & Y MANAGEMENT INC. | DE | SOLE SHAREHOLDER | E | Control |
| S & Y MANAGEMENT INC. | DE | SOLE SHAREHOLDER | E | Control |
| S & Y MANAGEMENT INC. | DE | SOLE SHAREHOLDER | E | Control |
| S & Y MANAGEMENT INC. | DE | SOLE SHAREHOLDER | E | Control |
| S & Y MANAGEMENT INC. | DE | SOLE SHAREHOLDER | E | Control |
| S & Y MANAGEMENT INC. | DE | SOLE SHAREHOLDER | E | Control |
| S & Y MANAGEMENT INC. | DE | SOLE SHAREHOLDER | E | Control |
| S & Y MANAGEMENT INC. | DE | SOLE SHAREHOLDER | E | Control |
| S & Y MANAGEMENT INC. | DE | SOLE SHAREHOLDER | E | Control |
| S & Y MANAGEMENT INC. | DE | SOLE SHAREHOLDER | E | Control |
| S & Y MANAGEMENT INC. | DE | SOLE SHAREHOLDER | E | Control |
| S & Y MANAGEMENT INC. | DE | SOLE SHAREHOLDER | E | Control |
| STONE & YOUNGBERG HOLDINGS LLC | DE | SOLE SHAREHOLDER | E | Control |
| STONE & YOUNGBERG HOLDINGS LLC | DE | SOLE SHAREHOLDER | E | Control |
| STONE & YOUNGBERG HOLDINGS LLC | DE | SOLE SHAREHOLDER | E | Control |
| STONE & YOUNGBERG HOLDINGS LLC | DE | SOLE SHAREHOLDER | E | Control |
| STONE & YOUNGBERG HOLDINGS LLC | DE | SOLE SHAREHOLDER | E | Control |
| STONE & YOUNGBERG HOLDINGS LLC | DE | SOLE SHAREHOLDER | E | Control |
| STONE & YOUNGBERG HOLDINGS LLC | DE | SOLE SHAREHOLDER | E | Control |
| STONE & YOUNGBERG HOLDINGS LLC | DE | SOLE SHAREHOLDER | E | Control |
| HEANEY, STEPHEN, EDWARD | I | EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | A | Control |
| HEANEY, STEPHEN, EDWARD | I | EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | A | Control |
| HEANEY, STEPHEN, EDWARD | I | EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | A | Control |
| HUCK, LEONARD, WILLIAM | I | EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | A | Control |
| HUCK, LEONARD, WILLIAM | I | EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | A | Control |
| HUCK, LEONARD, WILLIAM | I | EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | A | Control |
| LOCKARD, WILLIAM, THOMAS | I | CEO/EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | A | Control |
| LOCKARD, WILLIAM, THOMAS | I | CEO/EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | A | Control |
| LOCKARD, WILLIAM, THOMAS | I | CEO/EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | A | Control |
| WILLIAMS, KENNETH, EVERETT | I | EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | A | Control |
| WILLIAMS, KENNETH, EVERETT | I | EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | A | Control |
| WILLIAMS, KENNETH, EVERETT | I | EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | A | Control |
Registrations
Federal
IA
Oct 21, 2005 REGISTERED
Notice Filings (51)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VT WA WI WV
Address
ONE FERRY BUILDINGSUITE 275
SAN FRANCISCO, CA 94111-4226
USA
Phone: 415-268-2900