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CRD 45899
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••• F•••••••• C••••••••• | Shareholder | E | yes | 07/2014 | Jul 31, 2014 | Jul 31, 2014 |
| B•••• F•••••••• G••••• I••• | Shareholder | E | yes | 07/2014 | Jul 31, 2014 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Portland | Or | United States | n/a | no |
| Anacortes | Wa | United States | n/a | no |
| Bellevue | Wa | United States | n/a | no |
| MOUNT VERNON | Wa | United States | n/a | no |
| Spokane | Wa |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2013 | $3.5B | $2.9B | 21.2% | n/a | n/a | 171 | 170 | n/a | n/a |
| B•••• H•••••• C•••••• | Shareholder | E | yes | 07/2014 | Jul 31, 2014 | Jul 31, 2014 |
| B••••• S••••• G•••••• | D••••••• | Na | yes | 07/2014 | Jul 31, 2014 | Jul 31, 2014 |
| D•••••••• D•••• J••••• | EXECUTIVE VICE PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP/D••••••• | Na | yes | 08/2001 | Mar 30, 2012 | Jul 31, 2014 |
| G••••••••• A••••• M•••• | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | Na | yes | 08/2012 | Aug 30, 2012 | Jul 31, 2014 |
| M••••••• S•••• W•••• | PRESIDENT/CHIEF EXECUTIVE OFFICER/D••••••• | Na | yes | 07/1998 | Mar 30, 2012 | Jul 31, 2014 |
| P••••••• P••• E••••• | D••••••• | Na | yes | 07/2014 | Jul 31, 2014 | Jul 31, 2014 |
| R••••• B••••• G••• | CHAIRMAN OF THE BOARD/D••••••• | Na | yes | 07/1998 | Mar 30, 2012 | Jul 31, 2014 |
| R••••• C•••••• B••••• | SENIOR VICE PRESIDENT | Na | yes | 12/2003 | Mar 30, 2012 | Jul 31, 2014 |
| R•••••••• R••••• J••• | MANAGING D••••••• & DEPART CHAIR, INVESTMENT BANKING | Na | yes | 07/2005 | Mar 30, 2012 | Jul 31, 2014 |
| S••••••••• M•••••• J••• | D••••••• | Na | yes | 07/2014 | Jul 31, 2014 | Jul 31, 2014 |
| Z••••••• D••••••• P••• | D••••••• | Na | yes | 07/2014 | Jul 31, 2014 | Jul 31, 2014 |
| n/a |
| no |
| Yakima | Wa | United States | n/a | no |
| Mar 17, 2014 |
| $3.5B |
| $3.2B |
| 171 |
| 121 |
| n/a |
| n/a |
| n/a |
| 2012 | Mar 22, 2013 | $2.9B | $2.6B | 170 | 117 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $2.4B | $2.2B | n/a | n/a | n/a | n/a | n/a |