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

LAKEVIEW FINANCIAL GROUP LLC

CRD 139594

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:b58b027f-7c94-cd5b-22f4-9a2e77ed1f8d

Data as of Jul 6, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 10, 2016 to Jul 6, 2017
8 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: $328MItem 5.F on the latest filing (2017-07-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $294M
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
Employees: 8
Advisory employees: 7
Accounts: 1,967
SEC number: 801-107435
CRD: 139594
Filings on the tape: 8
First filed: Mar 10, 2016
Latest filed: Jul 6, 2017
Organised: Limited Liability Company, 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
BACK, JULIE, ANN	Member	C	yes	01/2006	Mar 10, 2016	Jul 6, 2017
KEYDEL, BRIANA, KELLY	Member	C	yes	01/2006	Mar 10, 2016	Jul 6, 2017
PETERS, LISA, RENE	MEMBER AND CHIEF COMPLIANCE OFFICER	C	yes	01/2006	Mar 10, 2016	Jul 6, 2017

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
2016	Jan 30, 2017	$328M	$294M	9	7	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
2016	$328M	n/a	n/a	n/a	n/a	8	n/a	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WEALTHSPIRE ADVISORS	3	Apr 18, 2018	Jan 2, 2018	SEATTLE, WA	Firm absorbed	Other	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CETERA ADVISOR NETWORKS LLC	3	Apr 1, 2016	Jul 7, 2015	SEATTLE, WA	Team lift out	Other	0.6%

Relationships

Controls (3)

← PETERS, LISA, RENEOwnerMEMBER AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 10, 2016 to presentfactForm ADV
← BACK, JULIE, ANNOwnerMEMBER, ownership code C, individual
Mar 10, 2016 to presentfactForm ADV
← KEYDEL, BRIANA, KELLYOwnerMEMBER, ownership code C, individual
Mar 10, 2016 to presentfactForm ADV

Registered with (4)

← JULIE ANN BACKAdvisorregistration: previous registration
Apr 18, 2006 to Apr 18, 2018factForm ADV
← BRIANA KELLY KEYDELAdvisorregistration: previous registration
Apr 18, 2006 to Apr 18, 2018factForm ADV
← GEORGE ROBERT LANEAdvisorregistration: previous registration
May 20, 2017 to Apr 18, 2018factForm ADV
← JONATHAN MATHEW MCQUADEAdvisorregistration: previous registration
Jul 7, 2015 to Apr 12, 2016factForm ADV

Moved with (2)

→ WEALTHSPIRE ADVISORSRegistered adviser3 advisors, firm absorbed, same day
Apr 18, 2018 to Jan 2, 2018factForm ADV
← CETERA ADVISOR NETWORKS LLCRegistered adviser3 advisors, team lift out
Apr 1, 2016 to Jul 7, 2015factForm ADV

Dated events

Occurred
Mar 10, 2016
First Form ADV filing
Lakeview Financial Group Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b58b027f-7c94-cd5b-22f4-9a2e77ed1f8d
First observed: Mar 10, 2016
Last observed: Jul 6, 2017 112 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.

LAKEVIEW FINANCIAL GROUP LLC

CRD 139594

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:b58b027f-7c94-cd5b-22f4-9a2e77ed1f8d

Data as of Jul 6, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:13 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BACK, JULIE, ANN

Member

yes

01/2006

Mar 10, 2016

Jul 6, 2017

KEYDEL, BRIANA, KELLY

Member

yes

01/2006

Mar 10, 2016

Jul 6, 2017

PETERS, LISA, RENE

MEMBER AND CHIEF COMPLIANCE OFFICER

yes

01/2006

Mar 10, 2016

Jul 6, 2017

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Jan 30, 2017

$328M

$294M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$328M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WEALTHSPIRE ADVISORS

Apr 18, 2018

Jan 2, 2018

SEATTLE, WA

Firm absorbed

Other

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CETERA ADVISOR NETWORKS LLC

Apr 1, 2016

Jul 7, 2015

SEATTLE, WA

Team lift out

Other

0.6%