Pacific Financial Research Inc (Beverly Hills)


Pacific Financial Research Inc is a large advisory firm based in Beverly Hills. It manages $341.24 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2000 and has operated in the jurisdiction of California.

Pacific Financial Research 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.

Pacific Financial Research: assets under management

The assets under management (AUM) of Pacific Financial Research Inc is $341.24 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -94% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $341.24 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $85.31 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pacific Financial Research Inc for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Pacific Financial Research Inc

Matthew J Appelstein has been acting as President since 1 Sep 2005. John Michael Grady joined the executive team most recently as the Treasurer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
James Hammond Gipson Pres/ceo/portfolio mgr 1 Dec 1980 Other 1426340
Michael Colin Sandler Vice pres/portfolio mgr 1 Apr 1984 Other 1600326
Douglas Wharton Grey Vice pres/portfolio mgr 1 Jul 1986 Other 2678130
Bruce Gordon Veaco Vicepres/sectry/cfo/portfolio mgr 1 Aug 1986 Other 2634750
Peter J Quinn Vice pres/portfolio mgr 1 Aug 1987 Other 2881194
Michael Kromm Operations manager, compliance officer 1 Mar 1990 Other 1779382
Inc. United Asset Management Holdings 100% owner 1 May 1997 75% - 100% 98-0137447
United Asset Management Corporation 100% owner 1 May 1997 Other 04-2714625
Old Mutual(Us) Holdings Inc 100% owner 1 May 1997 75% - 100% 98-0137447
Paula Ponsetto Vice president 1 May 1997 Other 2326958
Donna Marie Kuegel Fund services manager 1 May 1997 Other 1230701
Paula Antionette Ponsetto Vice president 1 May 1997 Other 2326958
Plc Old Mutual 100% s/h united asset mgmt 1 Oct 2000 75% - 100% n/a
Old Mutual Life Assurance Co Ltd (South Africa) 8.71%shareholder of old mutual plc 1 Oct 2000 Other n/a
Old Mutual Life Holdings Limited (South Africa) 100% s/h old mutual life assurance 1 Oct 2000 75% - 100% n/a
Old Mutual (South Africa) Ltd 100% s/h old mutual life holding 1 Oct 2000 75% - 100% n/a
Old Mutual (Netherlands) B.V. 100% s/h old mutual life assurance 1 Oct 2000 75% - 100% n/a
Om Group (Uk) Limited 100% s/h old mutual netherlands 1 Oct 2000 75% - 100% n/a
Kelly Mitsuo Sueoka Portfolio manager, analyst 1 Jul 2001 Other 4427932
Nugroho Soeharto Vice president; portfolio manager 1 Jul 2001 Other 4427937
Leora R. Weiner Chief compliance officer/corporate counsel 1 Jul 2004 Other 4839750
Matthew J Appelstein Director 1 Sep 2005 Other 2359209
Stephen Williamson Clarke Director 1 Sep 2005 Other 1904086
Kevin Martin Hunt Director 1 Sep 2005 Other 856081
Scott Francis Powers Director 1 Sep 2005 Other 1482612
Thomas Moynihan Turpin Director 1 Sep 2005 Other 1888979
James Edward Mikolaichik Director 1 Sep 2005 Other 5047043
John Michael Grady Director 1 Sep 2005 Other 4380203
Joseph Ray Nixon Director 1 Nov 2005 Other 873258
John Michael Grady Treasurer 1 Jan 2006 Other 4380203
Linda Tilton Gibson Secretary and clerk 1 Jan 2006 Other 1754883
Thomas Moynihan Turpin President 1 Jan 2006 Other 1888979

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Plc Old Mutual 100% s/h old mutual us holdings 1 Sep 2000 75% - 100% foreign
Om Group (Uk) Limited 100% shareholder of old mutual (us) holdings inc 1 Jan 2003 75% - 100% foreign
Old Mutual Plc 100% shareholder of om group (uk) limited 1 Jan 2003 75% - 100% foreign

Based in Beverly Hills

The principal office where Pacific Financial Research Inc performs its advisory services is located at 9601 Wilshire Blvd, Suite 800, Beverly Hills, CA 90210 5291, 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 310-247-3939 or by fax 310-278-4497. The normal business hours are 7:30am to 4:00pm on Monday - Friday. You can find more information about the New York firm at www.pfr-valueinvestors.com.