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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

MERRIMAN, LLC

CRD 105717

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:919c7949-fa8a-880f-5aa6-33f96398b545

Data as of Aug 16, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 0
Observed: Mar 1, 2012 to Aug 16, 2012
5 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: $1.4BItem 5.F on the latest filing (2012-08-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 5,100
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $32.9Mgross asset value as reported per fund; never fund size
Custody, client assets: $32.9M
SEC number: 801-29500
CRD: 105717
Filings on the tape: 5
First filed: Mar 1, 2012
Latest filed: Aug 16, 2012
Organised: Limited Liability Company, Delaware

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
BERKMAN, GREGORY, BRUCE	BOARD MEMBER	B	yes	02/2006	Mar 1, 2012	Aug 16, 2012
BROWN, STEPHANIE	CHIEF COMPLIANCE OFFICER	Na	yes	05/2009	Mar 1, 2012	Aug 16, 2012
LINDSTROM, COLLEEN, JOY	CHIEF EXECUTIVE OFFICER	B	yes	02/2006	Mar 1, 2012	Aug 16, 2012
MERRIMAN-COHEN, JEFFREY, ALAN	BOARD MEMBER	C	yes	01/1993	Mar 1, 2012	Aug 16, 2012
MERRIMAN-WRAY, JULIE	N/A	A	no	01/1993	Mar 1, 2012	Aug 16, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
LEVERAGED GLOBAL OPPORTUNITY FUND, G.P., LLC	n/a	n/a	n/a	Y	yes	n/a

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
2011	Mar 1, 2012	$1.5B	$1.5B	n/a	n/a	n/a	1	$32.9M

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
2011	$1.4B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (4)

← MERRIMAN-COHEN, JEFFREY, ALANOwnerBOARD MEMBER, ownership code C, individual
Mar 1, 2012 to presentfactForm ADV
← BERKMAN, GREGORY, BRUCEOwnerBOARD MEMBER, ownership code B, individual
Mar 1, 2012 to presentfactForm ADV
← LINDSTROM, COLLEEN, JOYOwnerCHIEF EXECUTIVE OFFICER, ownership code B, individual
Mar 1, 2012 to presentfactForm ADV
← BROWN, STEPHANIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 1, 2012 to presentfactForm ADV

Owns (1)

← MERRIMAN-WRAY, JULIEOwnerN/A, ownership code A, individual
Mar 1, 2012 to presentfactForm ADV

Registered with (10)

← AARON MARCELLO SPENCERAdvisorregistration: previous registration
Feb 16, 2005 to Jan 16, 2013factForm ADV
← PARESH VINAYAK KAMDARAdvisorregistration: previous registration
May 18, 2007 to Jan 15, 2013factForm ADV
← TYLER DAVIDSON BARTLETTAdvisorregistration: previous registration
Apr 3, 2006 to Jan 15, 2013factForm ADV
← JEREMY ANDREW BURGERAdvisorregistration: previous registration
Dec 5, 2007 to Jan 14, 2013factForm ADV
← LOWELL LOMBARDINI PARKERAdvisorregistration: previous registration
Nov 5, 2007 to Jan 14, 2013factForm ADV
← THOMAS CHARLES COCKAdvisorregistration: previous registration
Jan 18, 2006 to Mar 5, 2010factForm ADV
← RICHARD LLOYD MILLERAdvisorregistration: previous registration
Sep 29, 2007 to Aug 28, 2008factForm ADV
← EDWARD LEE WARDAdvisorregistration: previous registration
Feb 7, 2000 to Dec 18, 2006factForm ADV
← RACHELE SOLOMAE BOUCHANDAdvisorregistration: previous registration
Dec 12, 2003 to Mar 21, 2006factForm ADV
← WAYNE EDWARD LOCKWOODAdvisorregistration: previous registration
Jun 1, 2005 to Aug 29, 2005factForm ADV

Dated events

Occurred
Mar 30, 2012
Succession filed (Item 4)
Merriman, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:919c7949-fa8a-880f-5aa6-33f96398b545
First observed: Mar 1, 2012
Last observed: Aug 16, 2012 171 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.

MERRIMAN, LLC

CRD 105717

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:919c7949-fa8a-880f-5aa6-33f96398b545

Data as of Aug 16, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:15 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BERKMAN, GREGORY, BRUCE

BOARD MEMBER

yes

02/2006

Mar 1, 2012

Aug 16, 2012

BROWN, STEPHANIE

CHIEF COMPLIANCE OFFICER

yes

05/2009

Mar 1, 2012

Aug 16, 2012

LINDSTROM, COLLEEN, JOY

CHIEF EXECUTIVE OFFICER

yes

02/2006

Mar 1, 2012

Aug 16, 2012

MERRIMAN-COHEN, JEFFREY, ALAN

BOARD MEMBER

yes

01/1993

Mar 1, 2012

Aug 16, 2012

MERRIMAN-WRAY, JULIE

N/A

01/1993

Mar 1, 2012

Aug 16, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LEVERAGED GLOBAL OPPORTUNITY FUND, G.P., LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 1, 2012

$1.5B

n/a

$32.9M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$1.4B

n/a