ASI INVESTMENTS, LLC
CRD #138617 SEC #801-65786 LAFAYETTE, CA 925-299-7782
SEC Registered
Total AUM
$40M
Discretionary
$0
Employees
5
Clients
--
Accounts
1
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 15, 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 |
|---|---|---|---|---|
| OSBORNE, NEIL, L | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OSBORNE, NEIL, L | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TORRE, NICHOLAS, G | I | CHIEF INVESTMENT OFFICER/CCO | NA | Control |
| RUDD, ANDREW, THOMAS | I | CHAIRMAN/CEO | E | Control |
| RUDD, ANDREW, THOMAS | I | CHAIRMAN/CEO | E | Control |
| RUDD, ANDREW, THOMAS | I | CHAIRMAN/CEO | E | Control |
| TORRE, NICHOLAS, G | I | CHIEF INVESTMENT OFFICER | B | Control |
| TORRE, NICHOLAS, G | I | CHIEF INVESTMENT OFFICER | B | Control |
Registrations
Federal
IA
Feb 15, 2007 REGISTERED
Notice Filings (1)
CA
Address
3675 MOUNT DIABLO BOULEVARDSUITE 300
LAFAYETTE, CA 94549
USA
Phone: 925-299-7782