RIA Intel›Advisers›California›FOOTHILL SECURITIES, INC.

FOOTHILL SECURITIES, INC.

Advisory

N·SANTA CLARA, CA

Data as of Dec 27, 2016 · Source: SEC Form ADV

Total AUM

$1.2B

1-Year AUM Growth

+27.0%

3-Year CAGR

+27.0%

Employees

104

Assets Under Management

Total AUM$1.2B

Discretionary AUM$837M

Non-Discretionary AUM$320M

Discretionary %72.3%

Total Clients—

Team

Total Employees104

Investment Advisers268

Employee Growth (1Y)—

Filing History

Total Filings on Record60

First FilingMar 30, 2001

Latest FilingDec 27, 2016

🔒 Full AUM trend chart and 60 historical filings spanning 15+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on FOOTHILL SECURITIES, INC.

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.