GREENBOOK INVESTMENT MANAGEMENT, INC.
CRD #131563 SEC #801-63129 SAN DIEGO, CA 866-350-4237
SEC Registered
Total AUM
$272.7M
Discretionary
$88.7M
Employees
51
Clients
--
Accounts
1,708
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 23, 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 |
|---|---|---|---|---|
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CAMPANALE, FRANK, LOUIS | I | CHAIRMAN & CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | MANAGING DIR & CO-PORTFOLIO MANAGER, DISCRETIONARY ACCOUNTS | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | MANAGING DIR & CO-PORTFOLIO MANAGER, DISCRETIONARY ACCOUNTS | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | MANAGING DIR & CO-PORTFOLIO MANAGER, DISCRETIONARY ACCOUNTS | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | VICE PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | MANAGING DIR & CO-PORTFOLIO MANAGER, DISCRETIONARY ACCOUNTS | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | MANAGING DIR & CO-PORTFOLIO MANAGER, DISCRETIONARY ACCOUNTS | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | MANAGING DIR & CO-PORTFOLIO MANAGER, DISCRETIONARY ACCOUNTS | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | MANAGING DIR & CO-PORTFOLIO MANAGER, DISCRETIONARY ACCOUNTS | NA | Control |
| DUNN, PAUL, EDWARD | I | PRESIDENT, INVESTMENT MANAGEMENT | NA | Control |
| DUNN, PAUL, EDWARD | I | PRESIDENT, INVESTMENT MANAGEMENT | NA | Control |
| DUNN, PAUL, EDWARD | I | PRESIDENT, INVESTMENT MANAGEMENT | NA | Control |
| DUNN, PAUL, EDWARD | I | PRESIDENT, INVESTMENT MANAGEMENT | NA | Control |
| DUNN, PAUL, EDWARD | I | PRESIDENT, INVESTMENT MANAGEMENT | NA | Control |
| DUNN, PAUL, EDWARD | I | PRESIDENT, INVESTMENT MANAGEMENT | NA | Control |
| DUNN, PAUL, EDWARD | I | PRESIDENT, INVESTMENT SERVICES | NA | Control |
| DUNN, PAUL, EDWARD | I | PRESIDENT, INVESTMENT SERVICES | NA | Control |
| DUNN, PAUL, EDWARD | I | PRESIDENT, INVESTMENT SERVICES | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | GENERAL COUNSEL | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | COMPLIANCE OFFICER | NA | Control |
| HARRINGTON, SILAS, ISADORE | I | COMPLIANCE OFFICER | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | FOUNDER | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | FOUNDER | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | FOUNDER | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | FOUNDER | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | FOUNDER | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | FOUNDER/PRESIDENT | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | FOUNDER/PRESIDENT | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | FOUNDER | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | FOUNDER/PRESIDENT | NA | Control |
| JAYE, RICKI, ALLEN | I | CHIEF FINANCIAL PLANNER | NA | Control |
| JAYE, RICKI, ALLEN | I | CHIEF FINANCIAL PLANNER | NA | Control |
| JAYE, RICKI, ALLEN | I | CHIEF FINANCIAL PLANNER | NA | Control |
| JAYE, RICKI, ALLEN | I | CHIEF FINANCIAL PLANNER | NA | Control |
| JAYE, RICKI, ALLEN | I | CHIEF FINANCIAL PLANNER | NA | Control |
| JAYE, RICKI, ALLEN | I | CHIEF FINANCIAL PLANNER | NA | Control |
| JAYE, RICKI, ALLEN | I | CHIEF FINANCIAL PLANNER | NA | Control |
| JAYE, RICKI, ALLEN | I | CHIEF FINANCIAL PLANNER | NA | Control |
| JAYE, RICKI, ALLEN | I | CHIEF FINANCIAL STRATEGIST | NA | Control |
| LOCKO, STEPHEN, MICHAEL | I | EXEC. VICE PRESIDENT | NA | Control |
| LOCKO, STEPHEN, MICHAEL | I | EXEC. VICE PRESIDENT | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | DIR. OF RESEARCH/CO-PORTFOLIO MANAGER DISCRETIONARY ACCOUNTS | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | DIR. OF RESEARCH/CO-PORTFOLIO MANAGER DISCRETIONARY ACCOUNTS | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | DIR. OF RESEARCH/CO-PORTFOLIO MANAGER DISCRETIONARY ACCOUNTS | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | DIR. OF RESEARCH/CO-PORTFOLIO MANAGER DISCRETIONARY ACCOUNTS | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | DIR. OF RESEARCH/CO-PORTFOLIO MANAGER DISCRETIONARY ACCOUNTS | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | DIR. OF RESEARCH/CO-PORTFOLIO MANAGER DISCRETIONARY ACCOUNTS | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | DIR. OF RESEARCH/CO-PORTFOLIO MANAGER DISCRETIONARY ACCOUNTS | NA | Control |
| ADVANCED EQUITIES WEALTH MANAGEMENT, INC. | DE | OWNER | E | Control |
| GREENBOOK FINANCIAL SERVICES, INC. | DE | OWNER | E | Control |
| GREENBOOK FINANCIAL SERVICES, INC. | DE | OWNER | E | Control |
| GREENBOOK FINANCIAL SERVICES, INC. | DE | OWNER | E | Control |
| GREENBOOK FINANCIAL SERVICES, INC. | DE | OWNER | E | Control |
| GREENBOOK FINANCIAL SERVICES, INC. | DE | OWNER | E | Control |
| GREENBOOK FINANCIAL SERVICES, INC. | DE | OWNER | E | Control |
| GREENBOOK FINANCIAL SERVICES, INC. | DE | OWNER | E | Control |
| GREENBOOK FINANCIAL SERVICES, INC. | DE | OWNER | E | Control |
| HOLCOMB, ROBERT, STEVEN | I | OWNER | E | Control |
| HOLCOMB, ROBERT, STEVEN | I | FOUNDER | E | Control |
| HOLCOMB, ROBERT, STEVEN | I | FOUNDER | E | Control |
| HOLCOMB, ROBERT, STEVEN | I | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | DE | GREENBOOK FINANCIAL SERVICES, INC. | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | GREENBOOK FINANCIAL SERVICES, INC. | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | GREENBOOK FINANCIAL SERVICES, INC. | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | GREENBOOK FINANCIAL SERVICES, INC. | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | GREENBOOK FINANCIAL SERVICES, INC. | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | GREENBOOK FINANCIAL SERVICES, INC. | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP. | DE | GREENBOOK FINANCIAL SERVICES, INC. | E | Control |
| HOLCOMB, ROBERT, STEVEN | I | GREENBOOK FINANCIAL SERVICES | E | Control |
| HOLCOMB, ROBERT, STEVEN | I | GREENBOOK FINANCIAL SERVICES | E | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP. | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP. | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP. | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP. | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP. | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP. | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP. | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP. | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP. | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP. | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP. | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP. | C | Control |
Registrations
Federal
IA
Feb 23, 2007 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
655 WEST BROADWAYSUITE 1050
SAN DIEGO, CA 92101
USA
Phone: 866-350-4237