Harrisdirect LLC (Los Angeles)


Harrisdirect LLC is a large advisory firm based in Los Angeles. It manages $103.87 million of regulatory assets for 330 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

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Harrisdirect provides portfolio management for individuals and small businesses and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Harrisdirect: assets under management

The assets under management (AUM) of Harrisdirect LLC is $103.87 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -88% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $103.87 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $314.77 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Harrisdirect LLC for their services and products based on a percentage of assets under management. 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 Harrisdirect LLC

Gilles G Ouellette has been acting as President since 1 Feb 2002. Michael Joseph Albino joined the executive team most recently as the Chief Compliance Officer/Crop/Srop Bd.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Anthony Paul Festa Director of compliance/cco/crop/srop 1 Aug 1996 Other 878413
Barry Bennett Mione Managing director/director of investor services 1 Sep 1997 Other 1683147
Michael James Hogan Executive managing director/clo 1 May 1999 Other 1367915
Maryann Wasik Managing director/director of product development 1 Jan 2001 Other 4213215
Scott Henry Aschoff Director of operations 1 Jul 2001 Other 1475106
Bankmont Financial Corp. Owner 1 Feb 2002 75% - 100% 51-0275712
Gilles G Ouellette Chairman 1 Feb 2002 Other 4107031
Bruce Stephen Schwenger President/ceo 1 Feb 2002 Other 2951722
Michael J Smyth Cfo/fin op 1 Feb 2002 Other 2802717
Rodney Eugene Trautvetter Executive managing director/coo 1 Feb 2002 Other 1011807
Harris Financial Corp. Owner 1 Feb 2002 75% - 100% 51-0275712
Charles N. Piermarini President/ceo 1 Dec 2004 Other 1962060
Shane Oshea Scotty Mulron Chief financial officer/finop 1 Oct 2005 Other 2709497
Robert Jarrett Lilien Chief executive officer/president 1 Oct 2005 Other 1337819
Cynthia Cramer Bock Corporate secretary 1 Oct 2005 Other xxx-xx-xxxx
Charles Anthony Nalbone Vice president - compliance 1 Oct 2005 Other 1186632
E*Trade Financial Corporation Shareholder 1 Oct 2005 75% - 100% 94-2844166
Inc. E*Trade Brokerage Holdings Shareholder 1 Oct 2005 75% - 100% 61-1413115
Michael John Curcio Manager 1 Oct 2005 Other 1620743
Jonathan Rice Foster President 1 Oct 2005 Other 1037245
Gilbert Schuyler Havens Vice president - ia 1 Mar 2006 Other 2508109
Christopher Valentin Reyes Chief financial officer 1 Mar 2006 Other 2105804
Thomas Henry Iii Roberts Vice president - bd 1 Mar 2006 Other 2104665
Robin Gen Wai Kirn Kameda Chief compliance officer - ia 1 Mar 2006 Other 1821479
Michael James Wilson Chief compliance officer - international 1 Mar 2006 Other 2446305
Michael Joseph Albino Chief compliance officer/crop/srop - bd 1 Aug 2006 Other 864412

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Bank Of Montreal Shareholder 1 Feb 2002 75% - 100% 13-4941092

Based in Los Angeles

The principal office where Harrisdirect LLC performs its advisory services is located at 11601 Wilshire Blvd, Los Angeles, CA 90025, which is also the mailing address of the firm. An additional office of the firm is in Charlotte, NC. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 310-473-9100 or by fax 310-473-7200. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.csfbdirect.com.