PLANMEMBER ASSET MANAGEMENT CORPORATION
Adviser information for PLANMEMBER ASSET MANAGEMENT CORPORATION last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-111678 |
|---|---|
| SEC ERA File Number | 801-111678 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289591 |
| Legal Entity Identifier | None |
Principal Office
6187 CARPINTERIA AVENUECARPINTERIA
CA
United States
Monday - Friday, 8 A.M. TO 5 P.M. PST
Tel: 805-684-1199, Fax: 805-684-3500
Chief Compliance Officer
SEAN P. HALEY
6187 CARPINTERIA AVE
CARPINTERIA
CA
United States
Tel:
805-684-1199
Fax:
805-684-3500
S*****@*************M
(Full email address available in API data)
Regulatory Contact
BYRON F. BOWMAN
GENERAL COUNSEL & SECRETARY
6187 CARPINTERIA AVE
CARPINTERIA
CA
United States
Tel:
805-684-1199
Fax:
805-684-3500
B******@*************M
(Full email address available in API data)
Industry Affiliates
| PLANMEMBER SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ZIEHL, JON, MICHAEL | Individual | – | PRESIDENT | 08/2017 | < 5% |
| PLANMEMBER FINANCIAL CORPORATION | Domestic Entity | – | OWNER | 08/2017 | > 75% |
| JANEWAY, TERRALL, JOSEPH | Individual | – | EVP/CHIEF OPERATING OFFICER | 06/2022 | < 5% |
| BOWMAN, BYRON, FRANCIS | Individual | – | CHIEF LEGAL OFFICER AND SECRETARY | 08/2017 | < 5% |
| NUGENT, THOMAS, EUGENE | Individual | – | CHIEF INVESTMENT OFFICER | 08/2017 | < 5% |
| EQUITABLE DISTRIBUTION HOLDING CORPORATION | Domestic Entity | PLANMEMBER FINANCIAL CORPORATION | SHAREHOLDER | 02/2013 | 25-50% |
| EQUITABLE HOLDINGS INC. | Domestic Entity | EQUITABLE FINANCIAL SERVICES, LLC | SHAREHOLDER | 11/2004 | > 75% |
| ZIEHL, JON, MICHAEL | Individual | PLANMEMBER FINANCIAL CORPORATION | PRESIDENT | 09/1984 | > 75% |
| EQUITABLE FINANCIAL SERVICES, LLC | Domestic Entity | EQUITABLE DISTRIBUTION HOLDING CORPORATION | SHAREHOLDER | 06/2002 | > 75% |
| HALEY, SEAN, PATRICK | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2019 | < 5% |
| HANSON, STEVEN, R | Individual | – | CHIEF FINANCIAL OFFICER / FINOPS | 01/2024 | < 5% |