0001669517-22-000080.txt : 20220823 0001669517-22-000080.hdr.sgml : 20220823 20220823084014 ACCESSION NUMBER: 0001669517-22-000080 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 DILLY,FREDERICK,STEPHEN WILLIAM, FILED AS OF DATE: 20220822 DATE AS OF CHANGE: 20220823 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PFM FINANCIAL ADVISORS LLC CENTRAL INDEX KEY: 0001669517 IRS NUMBER: 811642787 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-05146 FILM NUMBER: 221185121 BUSINESS ADDRESS: STREET 1: 1735 MARKET STREET STREET 2: 43RD FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19103-2700 BUSINESS PHONE: 215-567-6100 MAIL ADDRESS: STREET 1: 1735 MARKET STREET STREET 2: 43RD FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19103-2700 MA-I/A 1 primary_doc.xml MA-I/A 0001669517 XXXXXXXX CHERYL MADDOX 215-557-1239 MADDOXC@PFM.COM N 0001669517-21-000027 N FREDERICK STEPHEN WILLIAM DILLY N 1 0001669517 PFM FINANCIAL ADVISORS LLC 07-13-2020 N 867-02030 LOCATED SUPERVISED 07-13-2020 555 WEST 5TH STREET SUITE 3500 LOS ANGELES CA 90013 FRED NMN DILLY 07-2020 PFM FINANCIAL ADVISORS LLC LOS ANGELES CA 90017 Y N ANALYST 01-2020 04-2020 WOODSIDE CAPITAL PARTNERS WOODSIDE CA 94306 N N INVESTMENT BANKING WINTER ANALYST 09-2019 12-2019 LOS ANGELES MAYOR'S OFFICE OF ECONOMIC DEVELOPMENT LOS ANGELES CA 90017 Y N ECONOMIC DEVELOPMENT INTERN 12-2018 06-2019 UNIVERSITY OF CALIFORNIA, LOS ANGELES LOS ANGELES CA 90024 N N FULL-TIME STUDENT; ACTUAL DATES SEPTEMBER 2016 THROUGH JUNE 2019; EDGAR SYSTEM DOES NOT ALLOW FOR OVERLAPPING DATES 10-2017 06-2019 UCLA ANDERSON SCHOOL OF MANAGEMENT LOS ANGELES CA 90024 N N RESEARCH ASSISTANT 10-2018 12-2018 BALMORAL FUNDS LOS ANGELES CA 90025 N Y PRIVATE EQUITY INTERN 07-2018 09-2018 MORGAN STANLEY SAN FRANCISCO CA 94104 Y Y CLIENT SERVICE ASSOCIATE 09-2017 07-2018 UNIVERSITY OF CALIFORNIA, LOS ANGELES LOS ANGELES CA 90024 N N FULL-TIME STUDENT; ACTUAL DATES SEPTEMBER 2016 THROUGH JUNE 2019; EDGAR SYSTEM DOES NOT ALLOW FOR OVERLAPPING DATES 07-2017 09-2017 MORGAN STANLEY SAN FRANCISCO CA 94104 N Y WEALTH MANAGEMENT INTERN 08-2016 07-2017 UNIVESITY OF CALIFORNIA, LOS ANGELES LOS ANGELES CA 90024 N N FULL-TIME STUDENT; ACTUAL DATES SEPTEMBER 2016 THROUGH JUNE 2019; EDGAR SYSTEM DOES NOT ALLOW FOR OVERLAPPING DATES 09-2015 08-2016 COLLEGE OF SAN MATEO SAN MATEO CA 94402 N N STUDENT 09-2011 06-2015 FULL-TIME EDUCATION BURLINGAME CA 94010 N N FULL-TIME STUDENT 09-2008 06-2011 FULL-TIME EDUCATION HILLSBOROUGH CA 94010 N N FULL-TIME EDUCATION 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 08-22-2022 CHERYL MADDOX CHIEF LEGAL AND COMPLIANCE OFFICER