Harrisdirect LLC (Los Angeles)

Name: Harrisdirect LLC
Address: 11601 Wilshire Blvd, Los Angeles, CA, 90025
Telephone: 310-473-9100

Harrisdirect LLC is a large advisory firm based in Los Angeles. It manages $103.87 million of regulatory assets for 330 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Harrisdirect provides portfolio management for individuals and small businesses and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Harrisdirect: assets under management

The assets under management (AUM) of Harrisdirect LLC is $103.87 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -88% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $103.87 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $314.77 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Harrisdirect LLC 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 Harrisdirect LLC

Gilles G Ouellette has been acting as President since 1 Feb 2002. Michael Joseph Albino joined the executive team most recently as the Chief Compliance Officer/Crop/Srop Bd.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Anthony Paul Festa	Director of compliance/cco/crop/srop	1 Aug 1996	Other	878413
Barry Bennett Mione	Managing director/director of investor services	1 Sep 1997	Other	1683147
Michael James Hogan	Executive managing director/clo	1 May 1999	Other	1367915
Maryann Wasik	Managing director/director of product development	1 Jan 2001	Other	4213215
Scott Henry Aschoff	Director of operations	1 Jul 2001	Other	1475106
Bankmont Financial Corp.	Owner	1 Feb 2002	75% - 100%	51-0275712
Gilles G Ouellette	Chairman	1 Feb 2002	Other	4107031
Bruce Stephen Schwenger	President/ceo	1 Feb 2002	Other	2951722
Michael J Smyth	Cfo/fin op	1 Feb 2002	Other	2802717
Rodney Eugene Trautvetter	Executive managing director/coo	1 Feb 2002	Other	1011807
Harris Financial Corp.	Owner	1 Feb 2002	75% - 100%	51-0275712
Charles N. Piermarini	President/ceo	1 Dec 2004	Other	1962060
Shane Oshea Scotty Mulron	Chief financial officer/finop	1 Oct 2005	Other	2709497
Robert Jarrett Lilien	Chief executive officer/president	1 Oct 2005	Other	1337819
Cynthia Cramer Bock	Corporate secretary	1 Oct 2005	Other	xxx-xx-xxxx
Charles Anthony Nalbone	Vice president - compliance	1 Oct 2005	Other	1186632
E*Trade Financial Corporation	Shareholder	1 Oct 2005	75% - 100%	94-2844166
Inc. E*Trade Brokerage Holdings	Shareholder	1 Oct 2005	75% - 100%	61-1413115
Michael John Curcio	Manager	1 Oct 2005	Other	1620743
Jonathan Rice Foster	President	1 Oct 2005	Other	1037245
Gilbert Schuyler Havens	Vice president - ia	1 Mar 2006	Other	2508109
Christopher Valentin Reyes	Chief financial officer	1 Mar 2006	Other	2105804
Thomas Henry Iii Roberts	Vice president - bd	1 Mar 2006	Other	2104665
Robin Gen Wai Kirn Kameda	Chief compliance officer - ia	1 Mar 2006	Other	1821479
Michael James Wilson	Chief compliance officer - international	1 Mar 2006	Other	2446305
Michael Joseph Albino	Chief compliance officer/crop/srop - bd	1 Aug 2006	Other	864412

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Bank Of Montreal	Shareholder	1 Feb 2002	75% - 100%	13-4941092

Based in Los Angeles

The principal office where Harrisdirect LLC performs its advisory services is located at 11601 Wilshire Blvd, Los Angeles, CA 90025, which is also the mailing address of the firm. An additional office of the firm is in Charlotte, NC. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 310-473-9100 or by fax 310-473-7200. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.csfbdirect.com.