# HAROLD DAVIDSON & ASSOCIATES, INC

HAROLD DAVIDSON & ASSOCIATES, INC of LOS ANGELES, CA is an SEC-registered investment adviser.

## Registration

- CRD: 110994
- Type: SEC-registered investment adviser
- SEC file number: 801-9752
- Location: 1801 CENTURY PARK EAST, LOS ANGELES, CA, 90067
- Phone: 310-553-5551
- Latest filing: 2026-08-05
- Regulatory AUM: $390.5M
- Discretionary AUM: $390.5M
- Clients: 7
- Accounts: 423

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Corporations, Investment cos, Other

## Officers, owners & control persons (6)

| Name | Role | Location |
| --- | --- | --- |
| Harold Alan Davidson | PRESIDENT; TRUSTEE | — |
| Craig Eric Farkas | CHIEF COMPLIANCE OFFICER | — |
| Stephanie Chow | COMPLIANCE OFFICER; PORTFOLIO ADMINISTRATOR | — |
| Gina Josephine Gamboa | CHIEF COMPLIANCE OFFICER | — |
| DAVIDSON HAROLD ALAN | PRESIDENT | — |
| GAMBOA GINA JOSEPHINE | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2021-06-01 | regulatory | DURING THE COVID PANDEMIC HAROLD DAVIDSON & ASSOCIATES, INC. WAS SANCTIONED AND FINED BY THE SEC FOR THE LATE FILING AND DELIVERY OF THE NEWLY ADOPTED RULE 204-5 JUNE 5, 2019 FORM CRS CLIENT RELATIONSHIP SUMMARY DEADLINE OF JUNE 30, 2020. HAROLD DAVIDSON & ASSOCIATES, INC. BECAME FULLY COMPLIANT WIT… | Final | $25K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/110994/brochure
- Similar advisers: https://search.stillhousedata.com/firm/110994/similar
- Related entities: https://search.stillhousedata.com/firm/110994/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/110994

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Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.