SEATTLE WEALTH MANAGEMENT LLC
Adviser information for SEATTLE WEALTH MANAGEMENT LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 309 | $101.1M |
| Non-Discretionary | 0 | $0 |
| Total | 309 | $101.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 52 | $45.2M |
| HNW Individuals | 29 | $55.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $2,000 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $100,000 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-108935 |
|---|---|
| SEC ERA File Number | 801-108935 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285877 |
| Legal Entity Identifier | None |
Principal Office
8301-A 5TH AVENUE NESEATTLE
WA
United States
BY APPOINTMENT, BY APPOINTMENT
Tel: 206-956-9445, Fax: None
Websites
Chief Compliance Officer
ERIC JOHNSON
FINANCIAL PLANNER AND WEALTH MANAGER
8301-A 5TH AVENUE NE
SEATTLE
WA
United States
Tel:
206-956-9445
E***@************M
(Full email address available in API data)
Regulatory Contact
JOHN T. CARR
ATTORNEY
6650 SW REDWOOD LANE
SUITE 220
PORTLAND
OR
United States
Tel:
503 635-5244
Fax:
503 635-2955
J****@******************M
(Full email address available in API data)
Industry Affiliates
| SWM INSURANCE AGENCY, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| UHM, DAN, DAE YOUNG | Individual | – | GENERAL MANAGER | 01/2021 | 50-75% |
| JOHNSON, ERIC, ARTHUR | Individual | – | FINANCIAL PLANNER AND WEALTH MANAGER; CHIEF COMPLIANCE OFFICER | 01/2021 | 50-75% |