# S & Y ASSET MANAGEMENT LLC

S & Y ASSET MANAGEMENT LLC of SAN FRANCISCO, CA is an SEC-registered investment adviser.

## Registration

- CRD: 129754
- Type: SEC-registered investment adviser
- SEC file number: 801-67717
- Location: ONE FERRY BUILDING, SUITE 275, SAN FRANCISCO, CA, 94111-4226
- Phone: 415-268-2900
- Latest filing: 2008-12-26
- Regulatory AUM: $3.6M
- Discretionary AUM: $3.6M
- Clients: 11
- Accounts: 12

## Officers, owners & control persons (14)

| Name | Role | Location |
| --- | --- | --- |
| GAGE MITCHELL HUGHEY | CFO; CHIEF FINANCIAL OFFICER/FINOP | — |
| LOCKARD WILLIAM THOMAS | CEO; CEO/EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC; EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | — |
| SPORL PRISCILLA | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/COO | — |
| SMITH BRUCE JOHN | CHIEF COMPLIANCE OFFICER AND SROP/CROP | — |
| EVANS WILLIAM ASHTON III | CEO/MANAGING DIRECTOR, CLIENT SERVICES, SROP/CROP; MANAGING DIRECTOR, CLIENT SERVICES, SROP/CROP | — |
| ZINMAN ROBERT HAROLD | CHIEF COMPLIANCE OFFICER, AML OFFICER | — |
| PIAZZA JOSEPH JOHN | MANAGING MEMBER | — |
| NAKAO ROBIN LEA | CHIEF FINANCIAL OFFICER/FINOP; CHIEF FINANCIAL OFFICER/FINOP/INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER | — |
| WILLIAMS KENNETH EVERETT | EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | — |
| HEANEY STEPHEN EDWARD | EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | — |
| LOCKARD WILLIAM THOMAS JR | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | — |
| HUCK LEONARD WILLIAM | EXECUTIVE COMMITTEE MEMBER STONE & YOUNGBERG HOLDINGS LLC | — |
| EVANS WILLIAM ASHTON | CHIEF OPERATING OFFICER | — |
| WHITCHER DAVID SCOTT | CEO | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/129754/brochure
- Similar advisers: https://search.stillhousedata.com/firm/129754/similar
- Related entities: https://search.stillhousedata.com/firm/129754/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/129754

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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.