Wamu Investments, Inc. (Irvine)


Wamu Investments, Inc. is a large advisory firm based in Irvine. It manages $40.25 million of regulatory assets for 330 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Arizona, California, Colorado, and 14 other states.

Wamu Investments provides market timing 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.

Wamu Investments: assets under management

The assets under management (AUM) of Wamu Investments, Inc. is $40.25 million. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Wamu Investments, Inc. 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 Wamu Investments, Inc.

Charles Mcdonald Sledd has been acting as President since 1 Jan 2003. Lisa Hammond Rhee joined the executive team most recently as the Finop.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Inc. Washington Mutual Brokerage Holdings Parent company 1 Jul 1997 75% - 100% 91-1834301
Steve Wayne Dunstone Vp trading desk/srop/municipal securities principal 1 Aug 2002 Other 1276330
Charles Mcdonald Sledd Director 1 Jan 2003 Other 2588778
Mark C. Crowley Senior vice president 1 May 2004 Other 4754496
Mark Christopher Crowley Senior vice president 1 May 2004 Other 4754496
Robert Joab Jr Williams Director 1 Jan 2006 Other 1244051
Scott Maw Director 1 Jan 2006 Other xxx-xx-xxxx
Aaron Matthew Persons First vice president 1 Jan 2006 Other 2216151
Scott Harlan Maw Director 1 Jan 2006 Other xxx-xx-xxxx
Diane Pattison Novak Senior vice president 1 Apr 2006 Other 1857183
Douglas Frederick Wilburn Senior vice president/chief compliance officer 1 Apr 2006 Other 1407686
Dean Allen Evans Crop 1 Aug 2006 Other 2993750
David Michael Williams Senior vice president/finop 1 Jan 2007 Other 2756980
Sandra Allen Cavanaugh Director 1 Apr 2007 Other 733873
Karen Forslund Lare President/director 1 Apr 2007 Other 1027556
Kenneth Edward Kido Director 1 Apr 2007 Other 5345921
Richard Gorham Stephenson Director 1 Apr 2007 Other 5349711
Robert Marc Cecilio Senior vice president, chief administrative officer 1 Oct 2007 Other 1539928
Stewart Macmillan Landefeld Director 1 Jul 2008 Other 5595252
Inc. Washington Mutual Brokerage Holdings Direct owner 1 Sep 2008 75% - 100% 91-1834301
Karen Forslund Lare Director 1 Nov 2008 Other 1027556
Robert Marc Cecilio Director, president, chief administrative officer 1 Nov 2008 Other 1539928
Alan James Chabot Director 1 Mar 2009 Other 2617874
J. Christopher Henry Director 1 Mar 2009 Other 5591455
Lisa Hammond Rhee Finop 1 Apr 2009 Other 3251733

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Washington Mutual Bank Parent 1 Jul 1997 75% - 100% 68-0172274
Inc. New American Capital Parent 1 Jul 1997 75% - 100% 75-2255167
Inc. Washington Mutual Parent 1 Jul 1997 75% - 100% 91-1653725
National Association Jpmorgan Chase Bank Indirect parent 1 Sep 2008 75% - 100% 13-4994650
Jpmorgan Chase & Co. Indirect parent 1 Sep 2008 75% - 100% 13-2624428

Based in Irvine

The principal office where Wamu Investments, Inc. performs its advisory services is located at 17875 Von Karman Ave, 4 Th Floor, Irvine, CA 92614, which is also the mailing address of the firm. An additional office of the firm is in Santa Clara, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-888-0055 or by fax 949-442-5294. The normal business hours are 8am-5pm on Monday - Friday. You can find more information about the New York firm at www.wamuinvestments.com.