ALAN BILLER AND ASSOCIATES
ALAN D BILLER & ASSOCIATES, INC. Legal Name
Adviser information for ALAN BILLER AND ASSOCIATES last updated from Form ADV on February 16th, 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 | OCTOBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 45 |
|---|---|
| Investment Advisory/Research | 25 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 53 | $82.6B |
| Non-Discretionary | 0 | $0 |
| Total | 53 | $82.6B |
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 | 20 | $73.3B |
| Charitable organizations | <5 | $20.4M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 31 | $9.3B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 78 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Pension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesRETAINER |
Identifiers
| SEC RIA File Number | 801-48432 |
|---|---|
| SEC ERA File Number | 801-48432 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105283 |
| Legal Entity Identifier | 94-2854958 |
Principal Office
535 MIDDLEFIELD RD.SUITE 230
MENLO PARK
CA
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 650-328-7283, Fax: 650-323-4417
Chief Compliance Officer
SIMON LIM
MANAGING SENIOR CONSULTANT
535 MIDDLEFIELD RD.
SUITE 230
MENLO PARK
CA
United States
Tel:
650-328-7283
Fax:
650-323-4417
S****@*************M
(Full email address available in API data)
Regulatory Contact
ALAN BILLER
CHAIRMAN
535 MIDDLEFIELD RD.
SUITE 230
MENLO PARK
CA
United States
Tel:
650-328-7283
Fax:
650-323-4417
A***@*************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 |
|---|---|---|---|---|---|
| BILLER, ALAN, DAVID | Individual | – | CHAIRMAN, CHIEF FINANCIAL OFFICER | 11/1982 | 25-50% |
| MELTON, NANCY, TARABOCHIA | Individual | – | VICE CHAIR | 10/1991 | 25-50% |
| GOLDSTICKER, RALPH, PHILIP | Individual | – | CHIEF INVESTMENT OFFICER | 02/2016 | < 5% |
| LIM, SIMON, PAUL | Individual | – | CHIEF COMPLIANCE OFFICER/MANAGING SENIOR CONSULTANT | 03/2018 | < 5% |
| NEWELL, JENNIFER, CHRISTINE | Individual | – | CHIEF EXECUTIVE OFFICER | 08/2018 | < 5% |
| ALI, ASAD, ASIF | Individual | – | PRESIDENT | 10/2018 | < 5% |
| BURROWS, AILEEN, ELIZABETH | Individual | – | CHIEF OPERATING OFFICER | 08/2021 | < 5% |