AdvisorOS Directory
Claim Profile
Unclaimed Profile
RP

Roger B Peikin

ALETHEIA RESEARCH AND MANAGEMENT INC·SANTA MONICA, California
Series 27ALETHEIA RESEARCH AND MANAGEMENT INC
100 WILSHIRE BLVD, SUITE 1900, SANTA MONICA, CA 90401CRD# 3012336Firm CRD# 107877

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Roger B Peikin · SANTA MONICA, CA
Registration
CRD #3012336 · ALETHEIA RESEARCH AND MANAGEMENT INC
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
Series 27
02

Disclosure History

Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

03

Firm Overview

Firm
ALETHEIA RESEARCH AND MANAGEMENT INC
CRD 107877 · SEC 801-55761
AUM
$163M
Regulatory assets under management
Employees
10
124 client accounts
Services offered by ALETHEIA RESEARCH AND MANAGEMENT INC
Per Form ADV
Portfolio management (individuals)
Selection of other advisers
Other
Client types served by the firm
Per Form ADV
Individuals
View all advisors at ALETHEIA RESEARCH AND MANAGEMENT INC →
Introduction

Speak with Roger

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Roger is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in SANTA MONICA?

Browse all registered financial advisors in SANTA MONICA, California or claim this profile if it's yours.

Browse SANTA MONICA AdvisorsAre you this advisor? Claim profile
04

Frequently Asked Questions

What services does Roger B Peikin offer?
Roger B Peikin specializes in Investment Management, Wealth Management. Contact their office in SANTA MONICA, California for a consultation.
What are Roger B Peikin's credentials?
Roger B Peikin is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Roger B Peikin located?
Roger B Peikin is based in SANTA MONICA, California, working with ALETHEIA RESEARCH AND MANAGEMENT INC. Their office serves clients in the SANTA MONICA metropolitan area and surrounding communities.
How does Roger B Peikin charge for services?
Roger B Peikin's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is ALETHEIA RESEARCH AND MANAGEMENT INC?
ALETHEIA RESEARCH AND MANAGEMENT INC has approximately 10 employees and manages $163M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
Not sure what to look for in an advisor?
Try our free Advisor Match Quiz →

Other Advisors at ALETHEIA RESEARCH AND MANAGEMENT INC

Patricia Camp Barnes
SANTA MONICA, CA

More Advisors in SANTA MONICA, California

Jeffrey Adam Jacobs
OCEAN AVENUE CAPITAL ADVISORS, INC.·SANTA MONICA, CA
Lawrence Ross Goodfriend
OCEAN AVENUE CAPITAL ADVISORS, INC.·SANTA MONICA, CA
Milton Rafael Balbuena
VII PEAKS CAPITAL LLC·SANTA MONICA, CA
Benjamin Asher Lincoln
REDWOOD HOLDINGS, LLC·SANTA MONICA, CA
Marc David Campbell
FIVE OCEANS ADVISORS LLC·SANTA MONICA, CA
Kelly Jayne Acheson
ABACUS WEALTH PARTNERS, LLC·SANTA MONICA, CA

Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in California
SAN FRANCISCO (951)LOS ANGELES (679)SAN DIEGO (421)NEWPORT BEACH (277)IRVINE (191)PASADENA (130)WALNUT CREEK (121)SANTA BARBARA (103)LA JOLLA (100)MENLO PARK (92)
City Guides
SAN FRANCISCO GuideLOS ANGELES GuideSAN DIEGO GuideNEWPORT BEACH GuideIRVINE Guide
Research
Advisor Fees in CaliforniaNational Fee Analysis
Request removal of this profile