Asi Investments, LLC (Lafayette)

Name: Asi Investments, LLC
Address: 3675 Mount Diablo Boulevard, Lafayette, CA, 94549
Telephone: 925-299-7782

Asi Investments, LLC is a large advisory firm based in Lafayette. It manages $135 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of California and New York.

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

Asi Investments: assets under management

The assets under management (AUM) of Asi Investments, LLC is $135 million. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Asi Investments, LLC for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Asi Investments, LLC

Andrew Thomas Rudd has been acting as President since 1 Sep 2005. Nicholas G Torre has served as the Chief Investment Officer since 1 Nov 2005. Michelle Lyn Farmer joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Andrew Thomas Rudd	Chairman/ceo	1 Sep 2005	75% - 100%	2123443
Advisor Software Inc.	Parent company	1 Sep 2005	75% - 100%	20-2413459
Nicholas G Torre	Chief investment officer/cco	1 Nov 2005	Other	4369337
Nicholas Goodrich Torre	Chief investment officer/member	1 Nov 2005	Other	4369337
Neil L Osborne	Chief compliance officer	1 Oct 2006	Other	5291464
Neil Lawrence Osborne	Chief compliance officer	1 Oct 2006	Other	5291464
Michelle Lyn Farmer	Chief compliance officer	1 Mar 2010	Other	2696932

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Andrew Thomas Rudd	Trustee	1 Sep 1997	Other	2123443
Virginia Anne Rudd	Trustee	1 Sep 1997	Other	5553047
Andrew & Virginia Rudd Trustees Rudd Family Trust	100% shareholder	1 May 2005	75% - 100%	20-2413459
Rudd Family Trust	100% shareholder	1 May 2005	75% - 100%	20-2413459

Based in Lafayette

The principal office where Asi Investments, LLC performs its advisory services is located at 3675 Mount Diablo Boulevard, Lafayette, CA 94549, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 925-299-7782 or by fax 925-962-0658. The normal business hours are 8am to 5pm on Monday - Friday. You can find more information about the New York firm at www.asiinvestments.com.