SOLEDAD INVESTMENT MANAGEMENT, LLC
CRD #145975 SEC #801-72884 SAN DIEGO, CA 858.724.6070
SEC Registered
Total AUM
$2.5M
Discretionary
$2.5M
Employees
3
Clients
--
Accounts
6
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 30, 2016
- 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 |
|---|---|---|---|---|
| SEACREST INVESTMENT MANAGEMENT, LLC | FE | OWNER | NA | |
| SEACREST INVESTMENT MANAGEMENT, LLC | DE | OWNER AND MANAGING MEMBER | NA | |
| SEACREST INVESTMENT MANAGEMENT, LLC AND MANAGING MEMBER | DE | OWNER | NA | |
| NGUYEN, LUONG, DUY | I | CIO/CHIEF COMPLIANCE OFFICER | E | Control |
| NGUYEN, LUONG, DUY | I | CIO/CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | E | Control |
| NGUYEN, LUONG, DUY | I | CIO/CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | E | Control |
| NGUYEN, LUONG, DUY | I | CIO/CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | E | Control |
| NGUYEN, LUONG, DUY | I | CIO/CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | E | Control |
| NGUYEN, LUONG, DUY | I | CIO/CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | E | Control |
| NGUYEN, LUONG, DUY | I | CIO/CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | E | Control |
| NGUYEN, LUONG, DUY | I | CIO/CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | E | Control |
| NGUYEN, LUONG, DUY | I | CIO/CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | E | Control |
| NGUYEN, LUONG, DUY | I | CIO/CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | E | Control |
| NGUYEN, LUONG, DUY | I | CIO/CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | E | Control |
| NGUYEN, LUONG, DUY | I | CIO/CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| GUPTA, RAJESH, KUMAR | I | SEACREST INVESTMENT MANAGEMENT, LLC | C | |
| GUPTA, RAJESH, KUMAR | I | SEACREST INVESTMENT MANAGEMENT, LLC | C | |
| GUPTA, RAJESH, KUMAR | I | SEACREST INVESTMENT MANAGEMENT, LLC | C | |
| SANCHEZ, RICHARD, RAYMOND | I | SEACREST INVESTMENT MANAGEMENT, LLC | C | |
| SANCHEZ, RICHARD, RAYMOND | I | SEACREST INVESTMENT MANAGEMENT, LLC | C | |
| SANCHEZ, RICHARD, RAYMOND | I | SEACREST INVESTMENT MANAGEMENT, LLC | C |
Registrations
Federal
IA
Mar 30, 2016 REGISTERED
Notice Filings (2)
CA TX
Address
12555 HIGH BLUFF DRIVESTE 180
SAN DIEGO, CA 92130
United States
Phone: 858.724.6070