DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

RAMSEY & ASSOCIATES INC

CRD 109475

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:29e445a1-c51f-233a-ed53-5df6a8b2c47e

Data as of Mar 29, 2022 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Mar 29, 2022
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $263MItem 5.F on the latest filing (2022-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $65.4M
Private client RAUM: $263MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 345
Individual clients: 55
High net worth clients: 61
SEC number: 801-56341
CRD: 109475
Filings on the tape: 17
First filed: Mar 30, 2012
Latest filed: Mar 29, 2022
Organised: Corporation, Washington

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
RAMSEY, KAREN, S.	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	01/1996	Mar 30, 2012	Mar 29, 2022

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 29, 2022	$263M	$65.4M	4	3	0	n/a	n/a
2020	Mar 22, 2021	$239M	$63.6M	6	3	0	n/a	n/a
2019	Mar 23, 2020	$225M	$62.2M	6	3	0	n/a	n/a
2018	Mar 27, 2019	$201M	$56.9M	6	4	0	n/a	n/a
2017	Mar 28, 2018	$205M	$54.4M	5	3	0	n/a	n/a
2016	Mar 23, 2017	$192M	$51.9M	5	5	n/a	n/a	n/a
2015	Mar 29, 2016	$189M	$51.6M	5	4	n/a	n/a	n/a
2014	Mar 30, 2015	$198M	$50.0M	5	4	n/a	n/a	n/a
2013	Mar 26, 2014	$193M	$41.3M	5	4	n/a	n/a	n/a
2012	Mar 26, 2013	$170M	$39.3M	6	3	n/a	n/a	n/a
2011	Mar 30, 2012	$154M	$36.0M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$263M	$239M	10.3%	$201M	9.5%	4	6	0	0

Relationships

Controls (1)

← RAMSEY, KAREN, S.OwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (4)

← STEVEN ALLEN HOLDSWORTHAdvisorregistration: previous registration
Oct 28, 2020 to Jul 13, 2022factForm ADV
← TOBIN F WALTERSAdvisorregistration: previous registration
May 5, 2021 to Jul 13, 2022factForm ADV
← AMY JOAN GOANAdvisorregistration: previous registration
Jun 11, 2009 to Jul 16, 2013factForm ADV
← TIMOTHY JOSEPH MELIAAdvisorregistration: previous registration
Sep 13, 2007 to Jun 5, 2008factForm ADV

Dated events

Occurred
Jul 13, 2022
Advisor changed firm
Steven Allen Holdsworth left Ramsey & Associates Inc for First Pacific Financial, Inc. (registered 2022-02-23)
Form ADVobserved 3 days ago
Occurred
Jul 13, 2022
Advisor changed firm
Tobin F Walters left Ramsey & Associates Inc for Altfest Personal Wealth Management (registered 2024-01-02)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:29e445a1-c51f-233a-ed53-5df6a8b2c47e
First observed: Mar 30, 2012
Last observed: Mar 29, 2022 54 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RAMSEY & ASSOCIATES INC

CRD 109475

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:29e445a1-c51f-233a-ed53-5df6a8b2c47e

Data as of Mar 29, 2022 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:18 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RAMSEY, KAREN, S.

PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

01/1996

Mar 30, 2012

Mar 29, 2022

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 29, 2022

$263M

$65.4M

n/a

2020

Mar 22, 2021

$239M

$63.6M

n/a

2019

Mar 23, 2020

$225M

$62.2M

n/a

2018

Mar 27, 2019

$201M

$56.9M

n/a

2017

Mar 28, 2018

$205M

$54.4M

n/a

2016

Mar 23, 2017

$192M

$51.9M

n/a

2015

Mar 29, 2016

$189M

$51.6M

n/a

2014

Mar 30, 2015

$198M

$50.0M

n/a

2013

Mar 26, 2014

$193M

$41.3M

n/a

2012

Mar 26, 2013

$170M

$39.3M

n/a

2011

Mar 30, 2012

$154M

$36.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$263M

$239M

10.3%

$201M

9.5%