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CRD 283205
MEDFORD, OR
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 |
|---|---|---|---|---|---|---|
| KOENIG, GREGORY, ALAN | MANAGING MEMBER | E | yes | 04/2016 | Apr 13, 2016 | Mar 6, 2020 |
| MCCULLOUGH, JEFFREY, L | Member | B | no | 04/2016 | Apr 13, 2016 | Mar 6, 2020 |
| MILLER, LORRIE ANNE | MEMBER AND CHIEF COMPLIANCE OFFICER | B | no | 04/2016 | Apr 13, 2016 | Mar 6, 2020 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| KOENIG INVESTMENT ADVISORY, LLC | n/a | Former SEC adviser | $183M | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2019 | Mar 6, 2020 | $288,704 | $288,704 | 3 | 3 | 0 | n/a | n/a |
| 2018 | Feb 26, 2019 | $398,792 | $398,792 | 3 | 3 | 0 | n/a | n/a |
| 2017 | Mar 19, 2018 | $85,264 | $85,264 | 3 | 3 | 0 | n/a | n/a |
| 2016 | Mar 6, 2017 | $58,845 | $58,845 | 3 | 3 | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2019 | $288,704 | $398,792 | -27.6% | $58,845 | 69.9% | 3 | 3 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| KOENIG INVESTMENT ADVISORY, LLC | 2 | Jun 2, 2020 | Dec 7, 2020 | MEDFORD, OR | Team lift out | RIA to new firm | 100.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| KOENIG INVESTMENT ADVISORY, LLC | 2 | Mar 23, 2021 | Aug 21, 2018 | MEDFORD, OR | Team lift out | RIA to RIA | 100.0% |