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CRD 171616
SPOKANE, WA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J••••• D••••• R•••••• | n/a | SPOKANE, WA | 10 | 10 | 1 | no |
| J••• F• B•••• | n/a | SPOKANE, WA | 10 | 20 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| C•• P•••••• C••••• F•••• L• | Securitized Asset Fund | $16.0M | Aug 21, 2026 | 83 | Sep 6, 2023 | reported | 021-490215 |
| S•••• C•• I••••• F••• L•• | Securitized Asset Fund | $0 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| L•••••• S•••••• T••••• | Owner | D | yes | 06/2004 | Apr 29, 2019 | Dec 4, 2024 |
| R••••••• J•••••• D••••• | VICE PRESIDENT | B | yes | 07/2019 | Jun 21, 2019 | Dec 4, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Glendale | Az | United States | 1 | no |
| Henderson | TX | United States | 1 | no |
| Spokane | Wa | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 0 | 2 | 0.0% | 0 | 0 | 0 | 5 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $313M | $263M | 19.0% | $225M | 11.6% | 19 | 18 | 3 | 3 |
| no |
| K••• T••••• K••••• | Chartered Financial Analyst | SPOKANE, WA | 8 | 21 | 4 | no |
| M•••••• D•••• F•••• | n/a | SPOKANE, WA | 8 | 24 | 5 | no |
| T•••• S••••• B•••• | n/a | Spokane, WA | 7 | 22 | 6 | no |
| K••••••• P••••••• S•••• | n/a | SPOKANE, WA | 6 | 20 | n/a | no |
| K•••• B••••••• | n/a | SPOKANE, WA | 5 | 12 | n/a | no |
| B•••• J••• S•••••• | n/a | SPOKANE, WA | 3 | 11 | 1 | no |
| S•••••• H•••• | n/a | SPOKANE, WA | 2 | 10 | n/a | no |
| A••• F•••• | n/a | SPOKANE, WA | 2 | 12 | n/a | no |
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| S•••• M•••• M••••••• | Personal Financial Specialist | Spokane, WA | 2 | 31 | 1 | no |
| S••••• T• L••••• | n/a | SPOKANE, WA | 1 | 22 | 7 | no |
| D••••• B•••••• | n/a | SPOKANE, WA | Glendale, AZ | 1 | 10 | 3 | no |
| P••• W••••• F••••• | n/a | SPOKANE, WA | 1 | 16 | 2 | no |
| K•••••• T•••••••• | n/a | SPOKANE, WA | 1 | 10 | n/a | no |
| J••••• P•••••• T••••• | n/a | SPOKANE, WA | Sioux Falls, SD | 0 | 13 | 2 | no |
| T••••• B•••• | n/a | Tempe, AZ | SPOKANE, WA | 0 | 17 | 2 | no |
| T•••• M•••••• P••• | n/a | SPOKANE, WA | 0 | 16 | n/a | no |
| D•••• B••••••• | n/a | SPOKANE, WA | 0 | 13 | n/a | no |
| 0 |
| Aug 21, 2026 |
| reported |
| 021-8887 |
| PRESIDENT/CHIEF COMPLIANCE OFFICER/OWNER |
| B |
| yes |
| 05/2022 |
| Jun 21, 2019 |
| Dec 4, 2024 |
| $313M |
| $243M |
| 19 |
| 11 |
| 3 |
| 2 |
| n/a |
| 2024 | Mar 21, 2025 | $263M | $207M | 18 | 13 | 3 | 1 | n/a |
| 2023 | Feb 29, 2024 | $240M | $240M | 11 | 7 | 3 | 1 | $4.5M |
| 2022 | Mar 20, 2023 | $225M | $225M | 11 | 8 | 4 | n/a | n/a |
| 2021 | Jan 31, 2022 | $222M | $222M | 13 | 11 | 5 | n/a | n/a |
| 2020 | Feb 11, 2021 | $160M | $160M | 10 | 9 | 4 | n/a | n/a |
| 2019 | Jan 24, 2020 | $124M | $124M | 11 | 10 | 4 | n/a | n/a |