KOENIG INVESTMENT ADVISORY, LLC
Adviser information for KOENIG INVESTMENT ADVISORY, LLC last updated from Form ADV on January 22nd, 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 | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 605 | $226.2M |
| Non-Discretionary | 0 | $0 |
| Total | 605 | $226.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 215 | $39.3M |
| HNW Individuals | 115 | $182.0M |
| 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 | <5 | $3.7M |
| Charitable organizations | <5 | $1.1M |
| 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 businessesPension consulting servicesPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-119834 |
|---|---|
| SEC ERA File Number | 801-119834 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 311422 |
| Legal Entity Identifier | None |
Principal Office
739 N MAIN STREETASHLAND
OR
United States
Monday - Friday, 6:30 AM - 3:00 PM
Tel: 541-608-0551, Fax: 541-608-0423
Chief Compliance Officer
LORRIEANNE MILLER
739 N MAIN STREET
ASHLAND
OR
United States
Tel:
541-608-0551
Fax:
541-608-0423
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 |
|---|---|---|---|---|---|
| MCCULLOUGH, JEFFREY, L | Individual | – | PRINCIPAL; INVESTMENT ADVISOR REPRESENTATIVE | 10/2020 | > 75% |
| MILLER, LORRIE ANNE | Individual | – | INVESTMENT ADVISOR REPRESENTATIVE; CHIEF COMPLIANCE OFFICER | 11/2020 | < 5% |