POST ADVISORY GROUP, LLC of LOS ANGELES, CA is an SEC-registered investment adviser (CRD 108860). Regulatory assets under management: $13.0B.
Compensation: % of AUM, Performance, Other.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 73 people.
| Name | Role | Location |
|---|---|---|
| Deborah Ann Flickinger | CHIEF OPERATIONS OFFICER; CHIEF OPERATIONS OFFICER AND DIRECTOR; MANAGER | Los Angeles, CA |
| Jeffrey Mark Stroll | CO-CHIEF INVESTMENT OFFICER AND CHIEF EXECUTIVE OFFICER; DIRECTOR AND CHIEF INVESTMENT OFFICER; MANAGER (+1 more) | Los Angeles, CA |
| Perrett Sanije | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | Los Angeles, CA |
| Jill Marie Hittner | DIRECTOR | Des Moines, IA |
| Timothy Allen Hill | DIRECTOR | — |
| Yvonne Nmn Young | CHIEF FINANCIAL OFFICER | — |
| Kristopher Joel Farm | CHIEF TECHNOLOGY OFFICER | — |
| David Doyon Kim | CO-CHIEF INVESTMENT OFFICER; DEPUTY CHIEF INVESTMENT OFFICER & DIRECTOR; MANAGER (+1 more) | — |
| Maureen Elaine Ocampo | CHIEF COMPLIANCE OFFICER | — |
| Michael Scott Cohen | MANAGER | — |
| Daniel Edward Flesh | MANAGER | — |
| Damian Joseph Giangiacomo | MANAGER; OWNER | — |
| Ellen Wilson Shumway | DIRECTOR | — |
| Christopher James Reddy | DIRECTOR | — |
| Scott Martin Sailer | DIRECTOR | — |
| Kamal Nmn Bhatia | DIRECTOR | — |
| Tomohiro Nmn Yao | DIRECTOR | — |
| HOLLANDER RICHARD SCOTT | CHIEF EXECUTIVE OFFICER; MEMBER | — |
| SHAFF KAREN ELIZABETH | DIRECTOR | — |
| MITCHELL MARK L | MANAGING DIRECTOR - BUSINESS DEVELOPMENT; MANAGING DIRECTOR / CO-HEAD PRODUCT DEVELOPMENT; MANAGING DIRECTOR / PORTFOLIO MANAGEMENT (+1 more) | — |
| CANTER STEPHEN EDWARD | CHIEF COMPLIANCE OFFICER/ CHIEF LEGAL OFFICER | — |
| DONOHUE ANDREW JOHN | CHIEF COMPLIANCE OFFICER | — |
| DUNBAR TIMOTHY MARK | DIRECTOR | — |
| MCCAUGHAN JAMES PATRICK | CHAIRMAN | — |
| OCAMPO MAUREEN ELAINE | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-09-08 | regulatory | IN APRIL 2022 PRINCIPAL GLOBAL INVESTORS, LLC (PGI) HAD AN UNINTENTIONAL SHORT SALE OF A SECURITY DUE TO A CORPORATE ACTION IN POTENTIAL BREACH OF LOCAL REGULATIONS. IN SEPTEMBER 2022, PGI RECEIVED AN EMAIL REGARDING "NOTICE OF ACTION TO BE TAKEN" REGARDING THE BREACH OF LOCAL RESTRICTION PROVISIONS… | Final | $34K |