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KP

Kurtis S. Plumer

CLEARLAKE CAPITAL ASSET MANAGEMENT
SANTA MONICA, CA 90401
Some features on this profile are disabled
CRD#: 2205124
KP

Professional summary

Kurtis Stephen Plumer, who also goes by Kurt Plumer, is a registered financial advisor currently at CLEARLAKE CAPITAL ASSET MANAGEMENT, LLC located in Santa Monica, California.

Kurtis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Kurtis has worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 62 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kurt Plumer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kurtis Stephen Plumer's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 16, 2013 - Present

CLEARLAKE CAPITAL ASSET MANAGEMENT, LLC

Office #1: 233 Wilshire Boulevard Suite 800, Santa Monica, CA 90401
RIA
CRD#: 167408
SANTA MONICA, CA
Past

June 10, 2011 - January 24, 2013

COMMERCE STREET INVESTMENT MANAGEMENT

RIA
CRD#: 144278
DALLAS, TX
Past

February 16, 2011 - January 24, 2013

COMMERCE STREET CAPITAL, LLC

BD
CRD#: 143797
DALLAS, TX
Past

September 26, 2005 - January 4, 2010

HIGHLAND CAPITAL MANAGEMENT, L.P.

RIA
CRD#: 110126
DALLAS, TX
Past

October 4, 1996 - July 2, 1999

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

June 6, 1994 - February 27, 1995

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

March 19, 1992 - June 13, 1994

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CC
CLEARLAKE CAPITAL ASSET MANAGEMENT, LLC
CLEARLAKE CAPITAL ASSET MANAGEMENT, LLC | WHITESTAR ASSET MANAGEMENT LLC | TRIUMPH CAPITAL ADVISORS LLC | TRIUMPH CAPITAL ADVISORS

CRD#: 167408 / SEC#: 801-78493

RIA
Registered Investment Advisory firm - (11/5/2013 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Texas
(9/16/2013)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/31/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/17/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 3/17/1992
Corporate Securities Limited Representative Examination

Current Firm

CC
CLEARLAKE CAPITAL ASSET MANAGEMENT, LLC
CLEARLAKE CAPITAL ASSET MANAGEMENT, LLC | WHITESTAR ASSET MANAGEMENT LLC | TRIUMPH CAPITAL ADVISORS LLC | TRIUMPH CAPITAL ADVISORS

CRD#: 167408 / SEC#: 801-78493

RIA
Registered Investment Advisory firm - (11/5/2013 Approved)
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Contact information

Main Address
233 Wilshire Boulevard Suite 800, Santa Monica, CA 90401
Mailing Address
Phone number
(310) 400-8800
Established
Firm type
Fiscal year end
# of Employees
44

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2.A (BROCHURE) - WHITESTAR ASSET MANAGEMENT LLC (5/12/2025)

Regulatory assets under management

Total Number of Accounts23
AUM (Assets Under Management)$ 2,082,615,009

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CLEARLAKE CAPITAL ASSET MANAGEMENT, LLC

CRD#: 167408Santa Monica, CA 90401

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