Deputy Compliance Officer · Seia
Alex Kim
CRD 7119162 · Named on Form ADV at 3 SEC-registered advisers
At a glance
Seia, an SEC-registered wealth manager based in LOS Angeles, CA with $22.5 billion in regulatory assets, lists Alex Kim on its Form ADV as Deputy Compliance Officer, a control person. The SEC filings also name Alex at 2 other registered advisers.
Firms and roles
- SeiaDeputy Compliance OfficerWealth manager · LOS Angeles, CA · $23B in regulatory assets
- Signature Investment Advisors, LLCDeputy Compliance OfficerWealth manager · LOS Angeles, CA · $6.8B in regulatory assets
- Select Money Management, Inc.Deputy Compliance OfficerWealth manager · LOS Angeles, CA · $1.8B in regulatory assets
AtlasMembers
Alex’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 3 firmsLocked
- Control-person status
- 3 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Brian D. HolmesCEO, Seia
- Eric Z. RosenChief Compliance Officer, Seia
- Matthew J. MatrisianPresident, Seia
- Stephen V MastersonChief Financial Officer, Seia
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Alex’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.