# FLAHERTY & CRUMRINE INCORPORATED

FLAHERTY & CRUMRINE INCORPORATED of PASADENA, CA is an SEC-registered investment adviser.

## Registration

- CRD: 105499
- Type: SEC-registered investment adviser
- SEC file number: 801-19384
- Location: 301 E COLORADO BLVD, SUITE 800, PASADENA, CA, 91101-1911
- Phone: 626-795-7300
- Latest filing: 2026-03-25
- Regulatory AUM: $4.1B
- Discretionary AUM: $4.1B
- Clients: 14
- Accounts: 16

## Business model

- Compensation: % of AUM
- Clients served: Pooled vehicles, Investment cos

## Officers, owners & control persons (25)

| Name | Role | Location |
| --- | --- | --- |
| Ryan Douglas | VICE PRESIDENT | Eden Prairie, MN |
| Robert Eric Chadwick | PRESIDENT & DIRECTOR AND SHAREHOLDER | — |
| Bradford Sydenham Stone | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDER | — |
| Chad Christopher Conwell | EXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDER | — |
| Donald Frasier Crumrine | SHAREHOLDER | — |
| Robert Thomas Flaherty | SHAREHOLDER | — |
| Robert Michael Ettinger | SHAREHOLDER | — |
| CRUMRINE DONALD FRASIER | CHAIRMAN OF THE BOARD; CHAIRMAN OF THE BOARD & CHIEF COMPLIANCE OFFICER; CHAIRMAN OF THE BOARD & DIRECTOR (+2 more) | — |
| ETTINGER ROBERT MICHAEL | PRESIDENT; PRESIDENT & DIRECTOR; SHAREHOLDER (+1 more) | — |
| CHADWICK ROBERT ERIC | PRESIDENT & DIRECTOR; PRESIDENT & DIRECTOR AND SHAREHOLDER; TRUSTEE (+2 more) | — |
| STONE BRADFORD SYDENHAM | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR; EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDER; VICE PRESIDENT (+1 more) | — |
| LODOLO LAURIE C | SECRETARY; SECRETARY & ASSISTANT COMPLIANCE OFFICER | — |
| CONWELL CHAD CHRISTOPHER | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER; CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER & DIRECTOR; EXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR (+2 more) | — |
| CRUMRINE LUCILLE H | TRUSTEE | — |
| ETTINGER JANE Z | TRUSTEE | — |
| FLAHERTY ROBERT THOMAS | DIRECTOR; SHAREHOLDER; TRUSTEE | — |
| CHADWICK BECKY ANN | TRUSTEE | — |
| STIMES PETER CHRISTOPHER | VICE PRESIDENT; VICE PRESIDENT & ASSISTANT COMPLIANCE OFFICER | — |
| STIMES PETER | VICE PRESIDENT | — |
| LODOLO LAURIE CADDELL | SECRETARY & ASSISTANT COMPLIANCE OFFICER | — |
| CRUMRINE LUCILLE HARBOUR | TRUSTEE | — |
| ETTINGER JANE ZIMMERMAN | TRUSTEE | — |
| SETO RICK JONE | VICE PRESIDENT | — |
| CONWELL CHRISTINA L | TRUSTEE | — |
| SETO RICK J | VICE PRESIDENT | — |


## Branch offices (2)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| SUMMIT | NJ | 4 | 908-918-0300 |
| SUMMIT | NJ | 4 | 908-918-0300 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/105499/brochure
- Similar advisers: https://search.stillhousedata.com/firm/105499/similar
- Related entities: https://search.stillhousedata.com/firm/105499/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/105499

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.