OPES ADVISORS, INC.
CRD #132996 SEC #801-64768 CUPERTINO, CA 408-831-5804
SEC Registered
Total AUM
$335M
Discretionary
$335M
Employees
500
Clients
251
Accounts
959
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2017
- 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 |
|---|---|---|---|---|
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTH, DAVID, FORREST | I | CHIEF COMPLIANCE OFFICER | NA | |
| KATZ, ALEX, BARTH | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| KATZ, ALEX, BARTH | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| KATZ, ALEX, BARTH | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| KATZ, ALEX, BARTH | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| KATZ, ALEX, BARTH | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | E | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | E | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | E | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | E | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | D | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | D | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | D | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | D | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | D | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | D | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | D | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | D | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | D | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | D | Control |
| MCHAN, SUSAN, KAY | I | PRESIDENT | D | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| LEE, JONATHAN, JONGMIN | I | CHAIRMAN | C | Control |
| DUVALL, MARK, TOWNSEND | I | CHIEF INVESTMENT OFFICER | B | Control |
| DUVALL, MARK, TOWNSEND | I | CHIEF INVESTMENT OFFICER | B | Control |
| DUVALL, MARK, TOWNSEND | I | CHIEF INVESTMENT OFFICER | B | Control |
| DUVALL, MARK, TOWNSEND | I | CHIEF INVESTMENT OFFICER | B | Control |
| DUVALL, MARK, TOWNSEND | I | CHIEF INVESTMENT OFFICER | B | Control |
| DUVALL, MARK, TOWNSEND | I | CHIEF INVESTMENT OFFICER | B | Control |
| DUVALL, MARK, TOWNSEND | I | CHIEF INVESTMENT OFFICER | B | Control |
| DUVALL, MARK, TOWNSEND | I | CHIEF INVESTMENT OFFICER | B | Control |
| DUVALL, MARK, TOWNSEND | I | CHIEF INVESTMENT OFFICER | B | Control |
| DUVALL, MARK, TOWNSEND | I | CHIEF INVESTMENT OFFICER | B | Control |
| DUVALL, MARK, TOWNSEND | I | CHIEF INVESTMENT OFFICER | B | Control |
| DUVALL, MARK, TOWNSEND | I | CHIEF INVESTMENT OFFICER | B | Control |
Registrations
Federal
IA
Mar 31, 2017 REGISTERED
Notice Filings (4)
CA OR TX WA
Address
19330 STEVENS CREEK BLVDSUITE 200
CUPERTINO, CA 95014
United States
Phone: 408-831-5804