AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SC

Sheila E. Cu

Some features on this profile are disabled
CRD#: 4147439
SC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sheila Eileen Cu, who also goes by Cu Cu, Sheila Eileen Lim, was a registered financial professional .

Sheila is a previously registered financial professional and started their career in finance in 2006. Sheila had worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 20, 2021 - December 31, 2025

OLD WEST INVESTMENT MANAGEMENT, LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

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)
Loading...

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)

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#: 148343

TRUST BUT VERIFY

Monitor Sheila Cu

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.