WIND RIVER ADVISORS, L.L.C.
CRD #135808 SEC #801-64378 WALNUT CREEK, CA 925-974-3395
SEC Registered
Total AUM
$51.1M
Discretionary
$51.1M
Employees
5
Clients
10
Accounts
39
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 8, 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 |
|---|---|---|---|---|
| BAIRD, RICHARD, KENT | I | INVESTMENT ADVISOR REPRESENTATIVE | NA | |
| BAIRD, RICHARD, KENT | I | INVESTMENT ADVISOR REPRESENTATIVE | NA | |
| HIGH, CAMERON, G | I | CHIEF COMPLIANCE OFFICER | NA | |
| HIGH, CAMERON, G | I | CHIEF COMPLIANCE OFFICER | NA | |
| THALE, THOMAS, REID | I | MANAGING DIRECTOR | NA | |
| THALE, THOMAS, REID | I | MANAGING DIRECTOR | NA | |
| WAGNER, JOHN, RALPH | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | NA | Control |
| BAIRD, RICHARD, KENT | I | PRESIDENT/CEO | E | Control |
| BAIRD, RICHARD, KENT | I | PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER | E | Control |
| HANSEN, DAVID, HENRY | I | PRESIDENT/CEO/MANAGING MEMBER | E | Control |
| HANSEN, DAVID, HENRY | I | PRESIDENT/CEO/MANAGING MEMBER | E | Control |
| BAIRD, RICHARD, K | I | PRINCIPAL | D | Control |
| BAIRD, RICHARD, KENT | I | PRINCIPAL | D | Control |
| BAIRD, RICHARD, KENT | I | PRINCIPAL | D | Control |
| WAGNER, JOHN, RALPH | I | PRINCIPAL/CCO | C | Control |
| WAGNER, JOHN, RALPH | I | PRINCIPAL | C | Control |
| WAGNER, JOHN, RALPH | I | PRINCIPAL/CCO | C | Control |
Registrations
Federal
IA
Feb 8, 2007 REGISTERED
Notice Filings (2)
CA UT
Address
2121 N. CALIFORNIA BLVD.SUITE 290
WALNUT CREEK, CA 94596
USA
Phone: 925-974-3395