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SC

Sheila E. Cu

OLD WEST INVESTMENT MANAGEMENT
LOS ANGELES, CA 90017
Some features on this profile are disabled
CRD#: 4147439
SC

Professional summary

Sheila Eileen Cu, who also goes by Cu Cu, Sheila Eileen Lim, is a registered financial advisor currently at OLD WEST INVESTMENT MANAGEMENT, LLC located in Los Angeles, California.

Sheila is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Sheila has worked at 5 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Cu Cu | Sheila Eileen Lim

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 Sheila Eileen Cu's CRS (Customer Relationship Summary).
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

January 20, 2021 - Present

OLD WEST INVESTMENT MANAGEMENT, LLC

Office #1: 601 S Figueroa St Ste 1975, Los Angeles, CA 90017
RIA
CRD#: 148343
LOS ANGELES, CA
Past

July 9, 2010 - December 31, 2020

OLD WEST INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 148343
LOS ANGELES, CA
Past

October 27, 2006 - July 1, 2009

ALETHEIA RESEARCH AND MANAGEMENT INC

RIA
CRD#: 107877
SANTA MONICA, CA
Past

October 27, 2006 - July 1, 2009

ALETHEIA SECURITIES, INC.,

BD
CRD#: 44784
SANTA MONICA, CA
Past

September 6, 2006 - October 9, 2006

FOSTER INVESTMENT CONSULTING LLC

RIA
CRD#: 130624
LOS ANGELES, CA
Past

April 19, 2006 - October 9, 2006

THE SEIDLER COMPANIES INCORPORATED

BD
CRD#: 3911
LOS ANGELES, CA

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".
OW
OLD WEST INVESTMENT MANAGEMENT, LLC
OLD WEST INVESTMENT MANAGEMENT, LLC

CRD#: 148343 / SEC#: 801-69604

RIA
Registered Investment Advisory firm - (10/15/2008 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
California
(1/20/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/5/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/2006
General Securities Representative Examination

Current Firm

OW
OLD WEST INVESTMENT MANAGEMENT, LLC
OLD WEST INVESTMENT MANAGEMENT, LLC

CRD#: 148343 / SEC#: 801-69604

RIA
Registered Investment Advisory firm - (10/15/2008 Approved)
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Contact information

Main Address
601 South Figueroa Street Suite 1975, Los Angeles, CA 90017
Mailing Address
Phone number
(213) 943-1740
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (12 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2 OF FORM ADV (3/31/2025)

Regulatory assets under management

Total Number of Accounts554
AUM (Assets Under Management)$ 476,543,531

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

OLD WEST INVESTMENT MANAGEMENT, LLC

CRD#: 148343Los Angeles, CA 90017

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