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CRD 110952
KENNEWICK, 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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| SCOTT ALLEN SARBER | n/a | KENNEWICK, WA | 30 | 32 | 1 | no |
| MATTHEW LEE NEFF | n/a | KENNEWICK, WA | 25 | 27 | 1 | no |
| BLAINE ARTHUR CARR | n/a | KENNEWICK, WA | 22 | 24 | n/a | no |
| JOSHUA JAMES CHITTENDEN | n/a | KENNEWICK, WA | 19 | 20 | n/a | no |
| DIANE ELIZABETH GAINES | n/a | KENNEWICK, WA | 19 | 25 | n/a | no |
| MATTHEW JAMES PETERSEN | n/a | KENNEWICK, WA | 13 | 13 | n/a | no |
| BEN CLARK TANKE | n/a | KENNEWICK, WA | 9 | 27 | 5 | no |
| CORY TIM BRIGGS | n/a | KENNEWICK, WA | 9 | 12 | n/a | no |
| Haley Amanda Marie Johnson | n/a | KENNEWICK, WA | 6 | 12 | n/a | no |
| JOHN STIRN KEYES | n/a | KENNEWICK, WA | 6 | 15 | 3 | no |
| Cameron James Ridgeway | n/a | KENNEWICK, WA | 5 | 10 | n/a | no |
| Rachel Elizabeth Chacko | Certified Financial Planner | KENNEWICK, WA | 4 | 15 | 1 | no |
| Lilymarie Xue McKeirnan | n/a | KENNEWICK, WA | 3 | 14 | n/a | no |
| Mathew Joseph-Jack Legard | n/a | KENNEWICK, WA | 2 | 12 | n/a | no |
| Susan L. Larson | n/a | KENNEWICK, WA | 1 | 12 | 3 | no |
| Andrew Jacob Bennett | n/a | KENNEWICK, WA | 1 | 10 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CARR, BLAINE, ARTHUR | Treasurer | C | yes | 01/2007 | Apr 27, 2026 | Apr 27, 2026 |
| GAINES, DIANE, ELIZABETH | CHIEF COMPLIANCE OPERATIONS OFFICER | A | yes | 09/2025 | Apr 27, 2026 | Apr 27, 2026 |
| NEFF, MATTHEW, LEE | VICE-PRESIDENT | Na | yes | 01/2026 | Apr 27, 2026 | Apr 27, 2026 |
| PETERSEN, MATTHEW, JAMES | Secretary | C | yes | 01/2019 | Apr 27, 2026 | Apr 27, 2026 |
| SARBER, SCOTT, ALLEN | CHIEF EXECUTIVE OFFICER, PRESIDENT | B | yes | 02/2002 | Apr 27, 2026 | Apr 27, 2026 |
| Beck, Joshua, Allen | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2023 | Mar 17, 2023 | Sep 9, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| WALLA WALLA | Wa | United States | 3 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 27, 2026 | $1.6B | $1.6B | 19 | 16 | 2 | n/a | n/a |
| 2024 | Mar 28, 2025 | $1.3B | $1.3B | 21 | 18 | 1 | n/a | n/a |
| 2023 | Feb 15, 2024 | $1.1B | $1.1B | 19 | 15 | 1 | n/a | n/a |
| 2022 | Mar 17, 2023 | $927M | $927M | 17 | 14 | 1 | n/a | n/a |
| 2021 | Feb 28, 2022 | $1.0B | $1.0B | 15 | 12 | 1 | n/a | n/a |
| 2020 | Mar 10, 2021 | $838M | $838M | 17 | 14 | 1 | n/a | n/a |
| 2019 | Mar 17, 2020 | $770M | $770M | 16 | 13 | 0 | n/a | n/a |
| 2018 | Mar 15, 2019 | $670M | $670M | 14 | 11 | 0 | n/a | n/a |
| 2017 | Mar 15, 2018 | $690M | $690M | 12 | 10 | 0 | n/a | n/a |
| 2016 | Mar 15, 2017 | $586M | $586M | 17 | 11 | n/a | n/a | n/a |
| 2015 | Mar 15, 2016 | $546M | $546M | 18 | 11 | n/a | n/a | n/a |
| 2014 | Mar 4, 2015 | $539M | $539M | 19 | 12 | n/a | n/a | n/a |
| 2013 | Mar 12, 2014 | $526M | $526M | 17 | 12 | n/a | n/a | n/a |
| 2012 | Mar 15, 2013 | $442M | $442M | 19 | 12 | n/a | n/a | n/a |
| 2011 | Mar 21, 2012 | $379M | $379M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 6.3% | 0 | 0 | 0 | 1 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.6B | $1.3B | 23.4% | $927M | 19.4% | 19 | 21 | 2 | 1 |