Jon Wieman has been Chief Compliance Officer of DRH Investments since August 2018, is not listed as a control person, but directly owns under 5% of the firm. Jon Wieman holds a Bachelor of Science in Finance from the University of Minnesota Carlson School of Management, a Law degree from UCLA School of Law and an Executive LL.M. in Securities and Financial Regulation from Georgetown University Law Center.
DRH Investments, Inc. is a Thousand Oaks, CA firm with $191M under management, 101 clients and 2 advisers in one office, as of its March 2026 filing.
Jon Wieman is Chief Compliance Officer of DRH Investments, Inc. He spent more than 12 years in the U.S. Securities and Exchange Commission's examination program. Before joining the Commission, his legal practice involved counseling clients on legal and compliance issues in law firm and in-house settings.
Professional designations
Listed by DRH Investments
- CFA
Examinations
No examinations are on Jon Wieman’s record.
- Full name
- Jon M Wieman
- CRD
- 6936458
- Firm
- DRH Investments · CRD 164945
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- drhinvestments.com
Where does Jon Wieman work?
Jon Wieman has been Chief Compliance Officer of DRH Investments, Inc. since August 2018.
Does Jon Wieman have a current investment-adviser registration?
Jon Wieman has no current investment-adviser or broker registration.
Where was Jon Wieman previously registered as an investment adviser?
Jon Wieman has past investment-adviser registrations through DRH Investments, Inc., November 2018 to February 2019, across 1 firm.
Is Jon Wieman registered with FINRA?
No. Jon Wieman has no current broker registration.
Is Jon Wieman a CFA charterholder?
DRH Investments lists Jon Wieman with the CFA credential (“CFA”) on its website. CFA Institute confirms certification status.
How can I verify Jon Wieman’s record?
Search CRD 6936458 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Jon Wieman’s full registration record.