0001640207-15-000002.txt : 20150423 0001640207-15-000002.hdr.sgml : 20150423 20150423144934 ACCESSION NUMBER: 0001640207-15-000002 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150423 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Derivative Logic, Inc. CENTRAL INDEX KEY: 0001640207 IRS NUMBER: 473687071 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-04902 FILM NUMBER: 15788162 BUSINESS ADDRESS: STREET 1: 1855 SAN MIGUEL DRIVE STREET 2: SUITE 6 CITY: WALNUT CREEK STATE: CA ZIP: 94596 BUSINESS PHONE: 415-510-2100 MAIL ADDRESS: STREET 1: 1855 SAN MIGUEL DRIVE STREET 2: SUITE 6 CITY: WALNUT CREEK STATE: CA ZIP: 94596 MA-I 1 primary_doc.xml MA-I 0001640207 XXXXXXXX Kimberly McManus 973-618-9500 kmcmanus@alternativereg.com N N Jimmy Dale Griffin 002903798 N 1 0001640207 Derivative Logic, Inc. 04-15-2015 N 04-23-2015 0001640207 LOCATED SUPERVISED 04-15-2015 1855 SAN MIGUEL DRIVE SUITE 6 WALNUT CREEK CA 94596 04-2015 Derivative Logic, Inc. WALNUT CREEK CA 94596 Y N Principal 10-2013 04-2015 RJA Global Advisors, LLC CORTE MADERA CA 94925 N N Managing Partner 03-2013 09-2013 Unemployed CORTE MADERA CA 94925 N N Unemployed 04-2012 02-2013 UBS AG CHARLOTTE NC 28277 Y Y Executive Director 06-2009 03-2012 Wells Fargo Bank CHARLOTTE NC 28282 Y Y Senior Vice President 03-2007 06-2009 Wells Fargo Bank LOS ANGELES CA 90012 Y Y Director 03-2001 03-2007 Union Bank LOS ANGELES CA 90033 Y Y Senior Vice President N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 04-23-2015 Kimberly McManus President of ARS