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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

RETIREMENT ASSET MANAGEMENT, LLC

CRD 140866

BELLEVUE, 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:e6608ca0-6e82-ea5e-1555-02a2182badc4

Data as of Apr 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Nov 8, 2011 to Apr 30, 2012
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: $16.1MItem 5.F on the latest filing (2012-04-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $15.1M
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: 75
SEC number: 801-67053
CRD: 140866
Filings on the tape: 8
First filed: Nov 8, 2011
Latest filed: Apr 30, 2012
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
DRAKE, TAYLOR, EVAN	CHIEF INVESTMENT OFFICER	Na	yes	01/2012	Jan 23, 2012	Apr 30, 2012
LOCKWOOD, LUELLEN, HUBBARD	CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER	Na	yes	09/2007	Nov 8, 2011	Apr 30, 2012
WELTY, DAVID, KEITH	President	E	yes	01/2007	Nov 8, 2011	Apr 30, 2012

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
LAKE OSWEGO	Or	United States	n/a	no

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 29, 2012	$163M	$161M	n/a	n/a	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
2011	$16.1M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (3)

← WELTY, DAVID, KEITHOwnerPRESIDENT, ownership code E, individual
Nov 8, 2011 to presentfactForm ADV
← DRAKE, TAYLOR, EVANOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jan 23, 2012 to presentfactForm ADV
← LOCKWOOD, LUELLEN, HUBBARDOwnerCHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 8, 2011 to presentfactForm ADV

Registered with (5)

← KATHRYN SHEA HENNINGSENAdvisorregistration: previous registration
Oct 30, 2006 to Jun 28, 2012factForm ADV
← DAVID KEITH WELTYAdvisorregistration: previous registration
Oct 30, 2006 to Jun 28, 2012factForm ADV
← TAYLOR EVAN DRAKEAdvisorregistration: previous registration
Jan 23, 2012 to Jun 28, 2012factForm ADV
← JULIE JEAN CASSATT-OLSENAdvisorregistration: previous registration
Sep 24, 2007 to Jun 28, 2012factForm ADV
← LARS LEE PHILLIPSAdvisorregistration: previous registration
Jan 10, 2012 to Jun 28, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e6608ca0-6e82-ea5e-1555-02a2182badc4
First observed: Nov 8, 2011
Last observed: Apr 30, 2012 175 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.

RETIREMENT ASSET MANAGEMENT, LLC

CRD 140866

BELLEVUE, 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:e6608ca0-6e82-ea5e-1555-02a2182badc4

Data as of Apr 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:51 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DRAKE, TAYLOR, EVAN

CHIEF INVESTMENT OFFICER

yes

01/2012

Jan 23, 2012

Apr 30, 2012

LOCKWOOD, LUELLEN, HUBBARD

CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER

yes

09/2007

Nov 8, 2011

Apr 30, 2012

WELTY, DAVID, KEITH

President

yes

01/2007

Nov 8, 2011

Apr 30, 2012

City

State

Country

Employees

Also broker-dealer

LAKE OSWEGO

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 29, 2012

$163M

$161M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$16.1M

n/a