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CRD 289191
SEATTLE, WA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| E••••• K••• R•••• | n/a | SEATTLE, WA | 6 | 32 | 1 | no |
| N••••• D•••••• D••••• | n/a | Seattle, WA | SEATTLE, WA | 5 | 13 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| R••••• E•••••• K••• | OWNER AND CHIEF COMPLIANCE OFFICER | E | yes | 05/2017 | Mar 2, 2022 | Mar 24, 2023 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Seattle | Wa | United States | 0 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2022 | Jan 13, 2023 | $149M | $149M | 10 | 5 | 3 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 3 | 0 | 3 | 0.0% | 2 | 0 | 0 | 3 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2022 | $137M | n/a | n/a | n/a | n/a | 10 | n/a | 2 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| E• R•••• I••••••••• L•• | 3 | Nov 6, 2020 | Oct 27, 2020 | SEATTLE, WA | Team lift out | RIA to RIA | 8.8% |
| no |
| M•••••• J•••• P•••••• | n/a | Seattle, WA | SEATTLE, WA | 5 | 31 | 2 | no |
| D•• F• M••••• | n/a | Spokane Valley, WA | SEATTLE, WA | 0 | 30 | 6 | no |
| C•••• P•••••• M••••• | Certified Financial Planner | Colorado Springs, CO | SEATTLE, WA | 0 | 30 | 9 | no |
| D•••• E••• A•••••••• | Chartered Financial Analyst | Redmond, WA | SEATTLE, WA | 0 | 21 | 5 | no |