FINANCIAL INSIGHTS
FINANCIAL INSIGHTS INC Legal Name
Adviser information for FINANCIAL INSIGHTS last updated from Form ADV on March 27th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 16 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 10 |
| 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 | 2,079 | $789.1M |
| Non-Discretionary | 0 | $0 |
| Total | 2,079 | $789.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 526 | $170.6M |
| HNW Individuals | 224 | $612.8M |
| 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 | <5 | $3.9M |
| Charitable organizations | 5 | $1.9M |
| 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 | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-21624 |
|---|---|
| SEC ERA File Number | 801-21624 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108797 |
| Legal Entity Identifier | None |
Principal Office
1551 BROADWAYSUITE 600
TACOMA
WA
United States
Monday - Friday, M-TH, 8AM-5PM; F, 8AM-1PM
Tel: (253) 627-6010, Fax: (253) 627-6097
Chief Compliance Officer
ALEXANDRIA KEMP
CEO
1551 BROADWAY
SUITE 600
TACOMA
WA
United States
Tel:
(253) 627-6010
Fax:
(253) 627-6097
A**@********************M
(Full email address available in API data)
Regulatory Contact
JORDAN FORD
BUSINESS OPERATIONS AND HUMAN RESOURCES MANAGER
1551 BROADWAY
SUITE 600
TACOMA
WA
United States
Tel:
(253) 627-6010
Fax:
(253) 627-6097
J*****@********************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 |
|---|---|---|---|---|---|
| LEWIS, DOROTHY, ANNE | Individual | – | FOUNDER | 02/1981 | 5-10% |
| Kemp, Alexandria, Anne | Individual | – | CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 01/2022 | > 75% |