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First Allied Asset Management, Inc. (San Diego)


First Allied Asset Management, Inc. is a related adviser based in San Diego. It manages $9.02 million of regulatory assets for 22 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Logo

First Allied Asset Management provides portfolio management for individuals and small businesses and commentary on general market conditions. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

First Allied Asset Management: assets under management

The assets under management (AUM) of First Allied Asset Management, Inc. is $9.02 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -99% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $9.02 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $409.93 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay First Allied Asset Management, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at First Allied Asset Management, Inc.

Craig Edward Columbus has been acting as President since 1 Jun 2012. Rcs Capital Holdings Llc joined the executive team most recently as the Shareholder.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Robert Jay Moses General counsel 1 Jan 1994 Other 2594106
Inc. Fas Holdings Sole shareholder 1 Oct 1994 75% - 100% 13-3807417
Luanne Marie Borowski Chief compliance officer 1 Feb 2007 Other 2310126
Janice M Doza Chief financial officer 1 Mar 2011 Other 4663841
Jeffrey Joel Mindlin Senior managing director and chief portfolio strategist 1 Jun 2012 Other 3069859
Craig Edward Columbus President 1 Jun 2012 Other 2523602
Lon Gerber Chief operating officer 1 Jun 2012 Other 5337174

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Nicholas Sloan Schorsch Member and manager 1 Aug 2007 50% - 75% 5475068
First Allied Holdings Inc. Shareholder 1 Nov 2011 75% - 100% 45-2897319
Llc Rcap Holdings Owner 1 Sep 2013 75% - 100% 71-1036971
Rcs Capital Corporation Sole member 1 Apr 2014 75% - 100% 38-3894716
Rcs Capital Holdings Llc Shareholder 1 Jun 2014 75% - 100% 46-4779238

Based in San Diego

The principal office where First Allied Asset Management, Inc. performs its advisory services is located at 655 W. Broadway, San Diego, CA 92101 The mailing address of the firm is Po Box 85549, San Diego, CA 92186 5549. An additional office of the firm is in Scottsdale, AZ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 866-299-4864 or by fax 619-881-1937. The normal business hours are 8:00 am to 4:00 pm on Monday - Friday. You can find more information about the New York firm at firstallied.com.


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