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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

KIBBLE & PRENTICE HOLDING COMPANY

CRD 127672

SEATTLE, 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:efd8b839-9940-29f0-11ee-d8a04659e8eb

Data as of Mar 27, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 27, 2017
12 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: $4.0BItem 5.F on the latest filing (2017-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
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
Employees: 288
Advisory employees: 13
Accounts: 242
SEC number: 801-62209
CRD: 127672
Filings on the tape: 12
First filed: Mar 30, 2012
Latest filed: Mar 27, 2017
Organised: Corporation, 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
MCMAHON, TODD, CHRISTIAN	CHIEF COMPLIANCE OFFICER	Na	yes	06/2004	Mar 30, 2012	Mar 27, 2017
ONEX AMERICAN HOLDINGS II LLC	Shareholder	C	yes	12/2012	Mar 20, 2013	Mar 27, 2017
ONEX CORPORATION	Shareholder	E	yes	06/2003	Mar 20, 2013	Mar 27, 2017
ONEX CORPORATION	Member	E	yes	12/2002	Mar 20, 2013	Mar 27, 2017
ONEX PARTNERS GP INC.	GENERAL PARTNER	F	yes	04/2008	Mar 20, 2013	Mar 27, 2017
ONEX PARTNERS III GP LP	GENERAL PARTNER	F	yes	04/2008	Mar 20, 2013	Mar 27, 2017
ONEX PARTNERS III LP	Shareholder	D	yes	12/2012	Mar 20, 2013	Mar 27, 2017
ONEX USI HOLDINGS CORP.	Shareholder	E	yes	12/2012	Mar 20, 2013	Mar 27, 2017
PRENTICE, ARLEN, IRVIN	Chairman	Na	yes	01/2002	Mar 30, 2012	Mar 27, 2017
PRENTICE, CHRISTOPHER, JOHN	CHIEF EXECUTIVE OFFICER	Na	yes	03/2002	Mar 30, 2012	Mar 27, 2017
SCHWARTZ, GERALD, WILFRED	Shareholder	D	yes	01/1984	Mar 20, 2013	Mar 27, 2017
USI INSURANCE SERVICES, LLC	SHAREHOLDER - 100%	E	yes	11/2006	Mar 30, 2012	Mar 27, 2017
USI, INC.	100 % SHAREHOLDER OF USI INSURANCE SERVICES LLC	E	yes	02/2007	Mar 20, 2013	Mar 27, 2017
NEWBORN, ERNEST, JOSHUA	DIRECTOR & SECRETARY	Na	no	11/2006	Mar 30, 2012	Mar 27, 2017

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
2016	Mar 27, 2017	$4.0B	$0	288	13	n/a	n/a	n/a
2015	Mar 30, 2016	$3.6B	$0	276	13	n/a	n/a	n/a
2014	Mar 27, 2015	$4.8B	$0	293	23	n/a	n/a	n/a
2013	Mar 26, 2014	$4.4B	$0	271	23	n/a	n/a	n/a
2012	Mar 20, 2013	$3.6B	$0	270	20	n/a	n/a	n/a
2011	Mar 30, 2012	$3.0B	$0	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
2016	$4.0B	$3.6B	11.6%	$4.4B	-2.9%	288	276	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
USI ADVISORS	9	May 1, 2017	May 3, 2017	SEATTLE, WA	Firm absorbed	Other	90.0%
COLUMBIA PACIFIC WEALTH MANAGEMENT	7	May 1, 2015	May 26, 2015	SEATTLE, WA	Team lift out	Other	41.2%

Relationships

Controls (12)

← PRENTICE, CHRISTOPHER, JOHNOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← PRENTICE, ARLEN, IRVINOwnerCHAIRMAN, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← SCHWARTZ, GERALD, WILFREDOwnerSHAREHOLDER, ownership code D, individual
Mar 20, 2013 to presentfactForm ADV
← MCMAHON, TODD, CHRISTIANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← ONEX AMERICAN HOLDINGS II LLCOwnerSHAREHOLDER, ownership code C, domestic entity
Mar 20, 2013 to presentfactForm ADV
← ONEX CORPORATIONOwnerMEMBER, ownership code E, foreign entity
Mar 20, 2013 to presentfactForm ADV
← ONEX PARTNERS GP INC.OwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 20, 2013 to presentfactForm ADV
← ONEX PARTNERS III GP LPOwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 20, 2013 to presentfactForm ADV
← ONEX PARTNERS III LPOwnerSHAREHOLDER, ownership code D, domestic entity
Mar 20, 2013 to presentfactForm ADV
← ONEX USI HOLDINGS CORP.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 20, 2013 to presentfactForm ADV
← USI INSURANCE SERVICES, LLCOwnerSHAREHOLDER - 100%, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← USI, INC.Owner100 % SHAREHOLDER OF USI INSURANCE SERVICES LLC, ownership code E, domestic entity
Mar 20, 2013 to presentfactForm ADV

Owns (1)

← NEWBORN, ERNEST, JOSHUAOwnerDIRECTOR & SECRETARY, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Moved with (2)

→ USI ADVISORSRegistered adviser9 advisors, firm absorbed, same day
May 1, 2017 to May 3, 2017factForm ADV
→ COLUMBIA PACIFIC WEALTH MANAGEMENTRegistered adviser7 advisors, team lift out, same day
May 1, 2015 to May 26, 2015factForm ADV

Registered with (20)

← MICHAEL THOMAS VAN DER VELDENAdvisorregistration: previous registration
Sep 27, 2005 to May 1, 2017factForm ADV
← DALLAS LAWRENCE OTTERAdvisorregistration: previous registration
Sep 27, 2005 to May 1, 2017factForm ADV
← JAMES MATHEW FRITSAdvisorregistration: previous registration
Oct 6, 2005 to May 1, 2017factForm ADV
← MELODY THOMASAdvisorregistration: previous registration
Jun 2, 2009 to May 1, 2017factForm ADV
← TRUONG QUOC TANGAdvisorregistration: previous registration
Oct 6, 2005 to May 1, 2017factForm ADV
← KYLE JAY RUSSELLAdvisorregistration: previous registration
Sep 23, 2005 to May 1, 2017factForm ADV
← TRACY SUE VAN HORNAdvisorregistration: previous registration
Oct 6, 2006 to May 1, 2017factForm ADV
← KENT LOUIS ACCOLAAdvisorregistration: previous registration
Dec 13, 2011 to May 1, 2017factForm ADV
← ELSIE LOUISE CriswellAdvisorregistration: previous registration
May 11, 2012 to May 1, 2017factForm ADV
← MATTHEW JORDAN PEARSONAdvisorregistration: previous registration
Apr 19, 2017 to May 1, 2017factForm ADV
← RODNEY ALLEN BENCHAdvisorregistration: previous registration
Apr 6, 2010 to Apr 7, 2017factForm ADV
← JOSEPH PATRICK STRECKERAdvisorregistration: previous registration
Oct 6, 2005 to May 1, 2015factForm ADV
← BRIAN DOUGLAS ORTONAdvisorregistration: previous registration
Oct 6, 2005 to May 1, 2015factForm ADV
← KEITH R CAPASSOAdvisorregistration: previous registration
Apr 6, 2010 to May 1, 2015factForm ADV
← DEREK ASHTON CRUMPAdvisorregistration: previous registration
Oct 6, 2005 to May 1, 2015factForm ADV
← KORY CHRISTIAAN LACKEYAdvisorregistration: previous registration
Aug 3, 2006 to May 1, 2015factForm ADV
← MATTHEW CHRISTOPHER KANEAdvisorregistration: previous registration
Aug 26, 2005 to May 1, 2015factForm ADV
← Ha NguyenAdvisorregistration: previous registration
Jan 26, 2012 to May 1, 2015factForm ADV
← RICHARD EGANAdvisorregistration: previous registration
Apr 6, 2010 to Aug 31, 2011factForm ADV
← Steven Gary HoglundAdvisorregistration: previous registration
May 7, 2008 to Mar 27, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:efd8b839-9940-29f0-11ee-d8a04659e8eb
First observed: Mar 30, 2012
Last observed: Mar 27, 2017 115 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.

KIBBLE & PRENTICE HOLDING COMPANY

CRD 127672

SEATTLE, 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:efd8b839-9940-29f0-11ee-d8a04659e8eb

Data as of Mar 27, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:38 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MCMAHON, TODD, CHRISTIAN

CHIEF COMPLIANCE OFFICER

yes

06/2004

Mar 30, 2012

Mar 27, 2017

ONEX AMERICAN HOLDINGS II LLC

Shareholder

yes

12/2012

Mar 20, 2013

Mar 27, 2017

ONEX CORPORATION

Shareholder

yes

06/2003

Mar 20, 2013

Mar 27, 2017

ONEX CORPORATION

Member

yes

12/2002

Mar 20, 2013

Mar 27, 2017

ONEX PARTNERS GP INC.

GENERAL PARTNER

yes

04/2008

Mar 20, 2013

Mar 27, 2017

ONEX PARTNERS III GP LP

GENERAL PARTNER

yes

04/2008

Mar 20, 2013

Mar 27, 2017

ONEX PARTNERS III LP

Shareholder

yes

12/2012

Mar 20, 2013

Mar 27, 2017

ONEX USI HOLDINGS CORP.

Shareholder

yes

12/2012

Mar 20, 2013

Mar 27, 2017

PRENTICE, ARLEN, IRVIN

Chairman

yes

01/2002

Mar 30, 2012

Mar 27, 2017

PRENTICE, CHRISTOPHER, JOHN

CHIEF EXECUTIVE OFFICER

yes

03/2002

Mar 30, 2012

Mar 27, 2017

SCHWARTZ, GERALD, WILFRED

Shareholder

yes

01/1984

Mar 20, 2013

Mar 27, 2017

USI INSURANCE SERVICES, LLC

SHAREHOLDER - 100%

yes

11/2006

Mar 30, 2012

Mar 27, 2017

USI, INC.

100 % SHAREHOLDER OF USI INSURANCE SERVICES LLC

yes

02/2007

Mar 20, 2013

Mar 27, 2017

NEWBORN, ERNEST, JOSHUA

DIRECTOR & SECRETARY

11/2006

Mar 30, 2012

Mar 27, 2017

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 27, 2017

$4.0B

288

n/a

2015

Mar 30, 2016

$3.6B

276

n/a

2014

Mar 27, 2015

$4.8B

293

n/a

2013

Mar 26, 2014

$4.4B

271

n/a

2012

Mar 20, 2013

$3.6B

270

n/a

2011

Mar 30, 2012

$3.0B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$4.0B

$3.6B

11.6%

$4.4B

-2.9%

288

276

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

USI ADVISORS

May 1, 2017

May 3, 2017

SEATTLE, WA

Firm absorbed

Other

90.0%

COLUMBIA PACIFIC WEALTH MANAGEMENT

May 1, 2015

May 26, 2015

SEATTLE, WA

Team lift out

Other

41.2%