GONSALVES, RICK A.
CRD #142828 SEC #801-67636 ROSEVILLE, CA 916-787-9940 X 101
SEC Registered
Total AUM
$15M
Discretionary
$0
Employees
5
Clients
--
Accounts
75
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 27, 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 |
|---|---|---|---|---|
| SMITH, DENA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, DENA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| BORUP, PHILLIP, PETER | I | CEO, CFO, SECRETARY | D | |
| GONSALVES, RICK, ALLAN | I | PRESIDENT, COO, CHIEF COMPLIANCE OFFICER | D | Control |
| GONSALVES, RICK, ALLAN | I | PRESIDENT, COO | D | Control |
| GONSALVES, RICK, ALLAN | I | PRESIDENT, CHIEF COMPLIANCE OFFICER, CEO, CFO | D | Control |
| BORUP, PHILLIP, PETER | I | CEO, CFO, SECRETARY | C | |
| BORUP, PHILLIP, PETER | I | CEO, CFO, CHIEF COMPLIANCE OFFICER | C | Control |
| GONSALVES, RICK, ALLAN | I | PRESIDENT, COO, CHIEF COMPLIANCE OFFICER | C | Control |
| GONSALVES, RICK, ALLAN | I | PRESIDENT, CEO, COO | C | Control |
| GONSALVES, RICK, ALLAN | I | PRESIDENT, CEO, COO | C | Control |
| GONSALVES, RICK, ALLAN | I | PRESIDENT, CEO, COO | C | Control |
| BORUP, PHILLIP, PETER | I | CHIEF FINANCIAL OFFICER | B | |
| BORUP, PHILLIP, PETER | I | CHIEF FINANCIAL OFFICER | B | |
| BORUP, PHILLIP, PETER | I | OWNER | B | |
| CLARK, ROBERT, LEE | I | CHIEF COMPLIANCE OFFICER | B | Control |
Registrations
Federal
IA
Feb 27, 2007 REGISTERED
Notice Filings (6)
CA FL NV TX UT WA
Address
8150 SIERRA COLLEGE BLVDSUITE 290
ROSEVILLE, CA 95661
USA
Phone: 916-787-9940 X 101