Matthew Farwell, financial advisor Los Angeles CA
96 score

Matthew Farwell

CRD Number: 5394443
Current Firm: Imperial Capital Asset Management LLC

Matthew Farwell (CRD# 5394443) is an Investment Advisor Representative working at Imperial Capital Asset Management LLC in Los Angeles, CA and has over 9 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Imperial Capital, LLC New York, NY Apr 2009 - Current 7
Imperial Capital Asset Management New York, NY Apr 2009 - Current 7
Unemployed New York, NY Jun 2008 - Apr 2009 < 1
Credit Suisse Securities (usa) LLC New York, NY Jul 2007 - Jun 2008 < 1
Apollo Capital Management, LLC Menlo Park, CA Aug 2006 - Jul 2007 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2007
S65 NASAA Investment Advisors Law Examination May 2009
Contact Info for Matthew T. Farwell
Phone Number: 310-246-3700
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    139
    MILLIONS
  • Total Number of Accounts
    3
    ACCOUNTS
  • Average Account Value
    $46,219,794
Compensation Options
  • A percentage of assets under your management
  • Performance-based fees
  • Other
Advisory Services Offered
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Other
Types of Clients
Registered States

CA

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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