ICON FINANCIAL SERVICES LLC
Adviser information for ICON FINANCIAL SERVICES LLC last updated from Form ADV on March 16th, 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 | Oregon, 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 | 1,622 | $3.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1,622 | $3.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,651 | $3.8M |
| HNW Individuals | <5 | $8,497 |
| 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 | 0 | $0 |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | Fixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 3.8M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ICON FINANCIAL SERVICES LLC WRAP FEE PROGRAM | ICON FINANCIAL SERVICES LLC |
Identifiers
| SEC RIA File Number | 801-117987 |
|---|---|
| SEC ERA File Number | 801-117987 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306816 |
| Legal Entity Identifier | None |
Principal Office
422 NW 13TH AVE #823PORTLAND
OR
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: (813) 670-2411, Fax: N/A
Chief Compliance Officer
ALEXANDER ROWLEY
CO-FOUNDER & CHIEF COMPLIANCE OFFICER
422 NW 13TH AVE #823
PORTLAND
OR
United States
Tel:
(503) 917-0590
Fax:
N/A
A**********@******************M
(Full email address available in API data)
Regulatory Contact
LAURIE ROWLEY
CO-FOUNDER, CEO
422 NW 13TH AVE #823
PORTLAND
OR
United States
Tel:
(503) 917-0590
Fax:
N/A
L************@******************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 |
|---|---|---|---|---|---|
| THE ICON SAVINGS PLAN CORPORATION | Domestic Entity | – | MEMBER | 11/2019 | > 75% |
| ROWLEY, ALEXANDER, KENT | Individual | – | CO-FOUNDER & CHIEF COMPLIANCE OFFICER | 11/2019 | < 5% |
| Rowley, Laurie | Individual | THE ICON SAVINGS PLAN CORPORATION | CO-FOUNDER, CEO | 11/2018 | 50-75% |