WEDBUSH ASSET MANAGEMENT, LLC
Adviser information for WEDBUSH ASSET MANAGEMENT, LLC last updated from Form ADV on September 15th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | No |
|---|
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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | – |
|---|---|
| Compensation | – |
Identifiers
| SEC RIA File Number | 802-110078 |
|---|---|
| SEC ERA File Number | 802-110078 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161183 |
| Legal Entity Identifier | None |
Principal Office
1000 WILSHIRE BLVD.SUITE 830
LOS ANGELES
CA
United States
Monday - Friday, 8AM - 5PM
Tel: 213-688-8018, Fax: None
Websites
Chief Compliance Officer
DANIEL M. SIMON
CHIEF FINANCIAL OFFICER
1000 WILSHIRE BLVD., SUITE 830
LOS ANGELES
CA
United States
Tel:
213-688-6604
Fax:
213-688-8095
D***********@*****************M
(Full email address available in API data)
Industry Affiliates
| WEDBUSH CAPITAL GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| WEDBUSH CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial planners |
| WEDBUSH SECURITIES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisorCommodity pool operator or commodity trading advisorFutures commission merchantPension consultant |
| WEDBUSH VENTURES MANAGEMENT | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| WEDBUSH CAPITAL PARTNERS, L.P. | Private Equity Fund | $20.0M | $0.3M | 63 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WEDBUSH, ERIC, DEAN | Individual | – | PRESIDENT | 01/2012 | < 5% |
| SIMON, DANIEL, MARK | Individual | – | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER | 01/2012 | < 5% |
| WAM CAPITAL, LLC | Domestic Entity | – | MEMBER | 12/2015 | > 75% |
| WEDBUSH CAPITAL | Domestic Entity | WAM CAPITAL, LLC | MEMBER | 12/2015 | > 75% |
| WEDBUSH, JEAN, ARDELLE | Individual | WEDBUSH FAMILY PARTNERS, LLC | SHAREHOLDER | 12/2020 | |
| WEDBUSH FAMILY PARTNERS, LLC | Domestic Entity | WEDBUSH CAPITAL | SHAREHOLDER | 12/2020 | 50-75% |