Oberon Financial Technology, Inc. (Sunnyvale)

Name: Oberon Financial Technology, Inc.
Address: 150 Mathilda Place, Sunnyvale, CA, 94086
Telephone: (408) 962-7878

Oberon Financial Technology, Inc. is a related adviser based in Sunnyvale. It has been registered with the SEC as an adviser since 2001.

Oberon Financial Technology provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Oberon Financial Technology, Inc. for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Oberon Financial Technology, Inc.

Michael Glen Apker has been acting as President since 1 Jan 2000. Brandon Rockwell Thomas has served as the Chief Investment Officer since 1 Dec 2004. Timothy Steven Stearns joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael Glen Apker	Ceo/cfo/secretary/director	1 Jan 2000	Other	4301863
Vighneswara Row Mokkarala	V.p.-marketing	1 Jan 2000	Other	4301867
L.P. Foundation Capital Iii	Shareholder	1 Jan 2000	25% - 50%	94-3346752
Llc Foundation Capital Iii Principals	Shareholder	1 Jan 2000	Other	94-3347786
Scott David Grinis	V.p.-engineering	1 Feb 2000	Other	4301868
Gene Edward Sinclair	V.p.-operations	1 Mar 2000	Other	815168
Richard Kevin Dion	Ceo	1 Sep 2001	Other	1347453
Lms Capital (Bermuda) Limited	Shareholder	1 Sep 2001	Other	00-0000000
George Luis Alvin	Chief compliance officer	1 Dec 2004	Other	3059817
Inc. The Envestnet Group	Shareholder	1 Dec 2004	75% - 100%	36-4368834
Inc. Envestnet Asset Management Group	Shareholder	1 Dec 2004	75% - 100%	20-1409613
Inc. Envestnet	Shareholder	1 Dec 2004	75% - 100%	20-1409613
Shelly S O'brien	Executive vice president, general counsel, secretary	1 Dec 2004	Other	4520223
Judson Taft Bergman	Ceo and chairman	1 Dec 2004	Other	1175054
Brandon Rockwell Thomas	Chief investment officer/managing director	1 Dec 2004	Other	2071577
William C. Crager	President/managing director	1 Dec 2004	Other	4451682
Dale Joseph Seier	Controller	1 Dec 2004	Other	2441308
Michael Glen Apker	Managing director	1 Aug 2007	Other	4301863
Peter H Darrigo	Chief financial officer	1 Jun 2008	Other	2106490
Timothy Steven Stearns	Chief compliance officer	1 Jul 2009	Other	1327230

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Envestnet Group	Shareholder	1 Feb 2000	25% - 50%	36-4368834

Based in Sunnyvale

The principal office where Oberon Financial Technology, Inc. performs its advisory services is located at 150 Mathilda Place, Sunnyvale, CA 94086, which is also the mailing address of the firm. An additional office of the firm is in Chicago, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (408) 962-7878 or by fax (408) 962-7850. The normal business hours are 8:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.mymoneypro.com.