THE PATTERSON CAPITAL CORPORATION
Adviser information for THE PATTERSON CAPITAL CORPORATION last updated from Form ADV on March 27th, 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 | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 10 | $978.4M |
| Non-Discretionary | 0 | $0 |
| Total | 10 | $978.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $528.4M |
| Charitable organizations | <5 | $28.0M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $199.2M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | <5 | $222.8M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-13828 |
|---|---|
| SEC ERA File Number | 801-13828 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105507 |
| Legal Entity Identifier | 254900I1SN33PEK1ZA94 |
Principal Office
11100 SANTA MONICA BLVDSUITE 1950
LOS ANGELES
CA
United States
Monday - Friday, 7:00 AM - 5:00 PM
Tel: 310-556-2496, Fax: 310-553-3605
Websites
Chief Compliance Officer
GATES, HELEN PATRICIA
SR. VP/CHIEF COMPLIANCE OFFICER
11100 SANTA MONICA BLVD
SUITE 1950
LOS ANGELES
CA
United States
Tel:
310-556-2496
Fax:
310-553-3605
T**********@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PATTERSON, JOSEPH, BOHEN | Individual | – | PRESIDENT, CEO | 10/1977 | > 75% |
| GATES, HELEN, PATRICIA | Individual | – | SENIOR V.P. | 08/1988 | < 5% |
| GATES, HELEN, PATRICIA | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2004 | < 5% |