PAUL R. RIED FINANCIAL GROUP, LLC
Adviser information for PAUL R. RIED FINANCIAL GROUP, LLC last updated from Form ADV on March 25th, 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 | 8 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,422 | $971.9M |
| Non-Discretionary | 20 | $8.8M |
| Total | 2,442 | $980.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 733 | $343.0M |
| HNW Individuals | 317 | $636.7M |
| 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 | $1.0M |
| 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 | 0 | $0 |
| 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 businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-113796 |
|---|---|
| SEC ERA File Number | 801-113796 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297284 |
| Legal Entity Identifier | None |
Principal Office
10801 MAIN STREETSUITE 201
BELLEVUE
WA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 425-646-6777, Fax: 425-451-2453
Chief Compliance Officer
ADAM JORDAN
DIRECTOR OF INVESTMENTS/CCO
10801 MAIN STREET
SUITE 201
BELLEVUE
WA
United States
Tel:
425-646-6777
Fax:
425-451-2453
A****@***********M
(Full email address available in API data)
Regulatory Contact
PAUL RIED
PRESIDENT/CEO
10801 MAIN STREET
SUITE 201
BELLEVUE
WA
United States
Tel:
425-646-6777
Fax:
425-451-2453
P****@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RIED, PAUL, RICHARD | Individual | – | PRESIDENT/CEO | 07/1986 | > 75% |
| JORDAN, ADAM | Individual | – | CCO | 05/2018 | < 5% |