ASTERA FINANCIAL GROUP, LLC
CRD #144850 SEC #801-68754 CARMEL, CA (831) 625-5800
SEC Registered Private Funds
Total AUM
$36M
Discretionary
$36M
Employees
6
Clients
0
Accounts
1
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 5, 2012
- 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 |
|---|---|---|---|---|
| GAUDOIN, ROSS | I | CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER | NA | Control |
| GAUDOIN, ROSS | I | CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER | NA | Control |
| GAUDOIN, ROSS, CHRISTOPHER MICHAEL | I | CHIEF FINANCIAL OFFICER/CHIEF LEGAL OFFICER | NA | Control |
| GAUDOIN, ROSS, CHRISTOPHER MICHAEL | I | CHIEF FINANCIAL OFFICER/CHIEF LEGAL OFFICER | NA | Control |
| GAUDOIN, ROSS, CHRISTOPHER MICHAEL | I | CHIEF FINANCIAL OFFICER/CHIEF LEGAL OFFICER | NA | Control |
| GAUDOIN, ROSS, CHRISTOPHER MICHAEL | I | CHIEF FINANCIAL OFFICER/CHIEF LEGAL OFFICER | NA | Control |
| GAUDOIN, ROSS, CHRISTOPHER MICHAEL | I | CHIEF FINANCIAL OFFICER/CHIEF LEGAL OFFICER | NA | Control |
| GAUDOIN, ROSS, CHRISTOPHER MICHAEL | I | CHIEF FINANCIAL OFFICER/CHIEF LEGAL OFFICER | NA | Control |
| GAUDOIN, ROSS, CHRISTOPHER MICHAEL | I | CHIEF FINANCIAL OFFICER/CHIEF LEGAL OFFICER | NA | Control |
| GAUDOIN, ROSS, CHRISTOPHER MICHAEL | I | CHIEF FINANCIAL OFFICER/CHIEF LEGAL OFFICER | NA | Control |
| GROVER, DANIEL, JUSTIN | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| GROVER, DANIEL, JUSTIN | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| GROVER, DANIEL, JUSTIN | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| GROVER, DANIEL, JUSTIN | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| GROVER, DANIEL, JUSTIN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| GROVER, DANIEL, JUSTIN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| GROVER, DANIEL, JUSTIN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| GROVER, DANIEL, JUSTIN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| GROVER, DANIEL, JUSTIN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| GROVER, DANIEL, JUSTIN | I | PRESIDENT/CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | NA | Control |
| BERNSTEIN, DANIEL, ADAM | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CORLEY, BRIAN, THOMAS | I | MANAGING MEMBER | C | Control |
| CORLEY, BRIAN, THOMAS | I | MANAGING MEMBER | C | Control |
| CORLEY, BRIAN, THOMAS | I | MANAGING MEMBER | C | Control |
| CORLEY, BRIAN, THOMAS | I | MANAGING MEMBER | C | Control |
| CORLEY, BRIAN, THOMAS | I | MANAGING MEMBER | C | Control |
| CORLEY, BRIAN, THOMAS | I | MANAGING MEMBER | C | Control |
| CORLEY, BRIAN, THOMAS | I | OWNER AND MANAGING MEMBER | C | Control |
| CORLEY, BRIAN, THOMAS | I | OWNER AND MANAGING MEMBER | C | Control |
| CORLEY, BRIAN, THOMAS | I | MANAGING MEMBER | C | Control |
| CORLEY, BRIAN, THOMAS | I | OWNER AND MANAGING MEMBER | C | Control |
| CORLEY, ZEPHRA | I | OWNER/CHIEF COMPLIANCE OFFICER | C | Control |
| BREITFUSS FAMILY TRUST | DE | OWNER | B | |
| BREITFUSS FAMILY TRUST | DE | OWNER | B | |
| BREITFUSS FAMILY TRUST | DE | OWNER | B | |
| BREITFUSS FAMILY TRUST | DE | OWNER | B | |
| BREITFUSS FAMILY TRUST | DE | OWNER | B | |
| BREITFUSS FAMILY TRUST | DE | OWNER | B | |
| BREITFUSS FAMILY TRUST | DE | OWNER | B | |
| BREITFUSS FAMILY TRUST | DE | OWNER | B | |
| BREITFUSS FAMILY TRUST | DE | OWNER | B | |
| BREITFUSS FAMILY TRUST | DE | OWNER | B | |
| BREITFUSS FAMILY TRUST | DE | OWNER | B | |
| PACIFIC CAPITAL BANK, N.A. | DE | OWNER | B | Control |
| PACIFIC CAPITAL BANK, N.A. | DE | OWNER | B | Control |
| PACIFIC CAPITAL BANK, N.A. | DE | OWNER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BREITFUSS, CURT, ALAN | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, CURT, ALAN | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, CURT, ALAN | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, CURT, ALAN | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, CURT, ALAN | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, CURT, ALAN | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, CURT, ALAN | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, CURT, ALAN | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, CURT, ALAN | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, CURT, ALAN | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, CURT, ALAN | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, JULIE | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, JULIE | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, JULIE | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, JULIE | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, JULIE | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, JULIE | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, JULIE | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, JULIE | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, JULIE | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, JULIE | I | BREITFUSS FAMILY TRUST | F | Control |
| BREITFUSS, JULIE | I | BREITFUSS FAMILY TRUST | F | Control |
Registrations
Federal
IA
Oct 5, 2012 REGISTERED
Notice Filings (1)
CA
Address
126 CLOCK TOWER PLACENO. 101
CARMEL, CA 93923
United States
Phone: (831) 625-5800