Chief Compliance Officer · Seia
Eric Z. Rosen
CRD 6181478 · 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 Eric Z. Rosen on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Eric at 2 other registered advisers.
Firms and roles
- SeiaChief Compliance OfficerWealth manager · LOS Angeles, CA · $23B in regulatory assets
- Signature Investment Advisors, LLCChief Compliance OfficerWealth manager · LOS Angeles, CA · $6.8B in regulatory assets
- Select Money Management, Inc.Chief Operating OfficerWealth manager · LOS Angeles, CA · $1.8B in regulatory assets
AtlasMembers
Eric’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
- Matthew J. MatrisianPresident, Seia
- Stephen V MastersonChief Financial Officer, Seia
- Alex KimDeputy Compliance 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 Eric’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.