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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$673MItem 5.F on the latest filing (2020-05-22); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$557M

Private client RAUM

$673MderivedItem 5.D individuals plus high net worth individuals

Private client share

100%derivedprivate client RAUM over total RAUM

Advisors on IAPD

0

Employees

61

Advisory employees

47

Offices

19Schedule D 1.F, beyond the principal office

Accounts

1,822

Individual clients

1,816

High net worth clients

6

Custody, client assets

$0

SEC number

801-78547

CRD

121003

Filings on the tape

39

First filed

Mar 29, 2012

Latest filed

May 22, 2020

Organised

Limited Liability Company, Washington

• Occurred

  Jan 25, 2018
  Regulatory AUM changed

  Ek Riley Investments, Llc reported RAUM $552.6M, up 30% from $426.1M (2017-09-07 to 2018-01-25)

  Form ADVobserved 5 days ago
  $127M
• Occurred

  Sep 3, 2013
  First Form ADV filing

  Ek Riley Investments, Llc filed its initial SEC registration (Form ADV)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:d0c2d6c3-c6d8-aab3-7e54-210d2d673f58

First observed

Mar 29, 2012

Last observed

May 22, 2020 77 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.