AMERICAN INVESTORS CO
L.S.Y., INC Legal Name
Adviser information for AMERICAN INVESTORS CO last updated from Form ADV on October 16th, 2023. 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 | MARCH |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 37 |
|---|---|
| Investment Advisory/Research | 37 |
| Registered Broker-Dealer Representatives | 37 |
| Registered State Investment Advisers | 35 |
| Licensed Agents of an Insurance Company | 26 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,646 | $475.2M |
| Non-Discretionary | 271 | $35.8M |
| Total | 1,917 | $511.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 765 | $178.7M |
| HNW Individuals | 201 | $307.6M |
| 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 | $19.7M |
| Charitable organizations | 5 | $1.9M |
| 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 | $3.0M |
| Other | <5 | $105,303 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 19 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-57838 |
|---|---|
| SEC ERA File Number | 801-57838 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 38 |
| Legal Entity Identifier | None |
Principal Office
12667 ALCOSTA BLVD., SUITE 160SAN RAMON
CA
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 925-866-2882, Fax: 925-866-8989
Websites
Chief Compliance Officer
CLARENCE YEE
PRESIDENT
12667 ALCOSTA BLVD., SUITE 160
PO BOX 1307
SAN RAMON
CA
United States
Tel:
925/866-2882X16
Fax:
925/866-8989
C***@**********************M
(Full email address available in API data)
Regulatory Contact
NICHOLAS COWLES COCHRAN
VICE PRESIDENT
12667 ALCOSTA BLVD., SUITE 160
PO BOX 1307
SAN RAMON
CA
United States
Tel:
925/866-2882X12
Fax:
925/866-8989
N*******@**********************M
(Full email address available in API data)
Industry Affiliates
| GEMMER, ROBERT ARDEN | Other investment adviser, including financial planners |
| JOEL KNIGHT TAX & BUSINESS SERVICES | Accountant or accounting firm |
| KESSLER FINANCIAL SERVICES | Other investment adviser, including financial plannersReal estate broker or dealer |
| MOSHER FINANCIAL ADVISORS LLC | Other investment adviser, including financial planners |
| OPTIMUM STRATEGIES | Accountant or accounting firm |
| R. KENNETH COIT | Sponsor or syndicator of limited partnerships |
| THOMAS L. MCCORMICK | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| YEE, CLARENCE | Individual | – | PRESIDENT, CFO, COO, CHIEF COMPLIANCE OFFICER, TREASURER, SECRETARY, PFO, POO | 03/1973 | 25-50% |
| LEE, LARRY CHAIYA | Individual | – | CHAIRMAN OF THE BOARD | 03/1973 | 50-75% |
| COCHRAN, NICHOLAS COWLES | Individual | – | VICE-PRESIDENT | 04/1992 | < 5% |