WEALTH ASSET MANAGERS
NELSON SECURITIES,INC. Legal Name
Adviser information for WEALTH ASSET MANAGERS last updated from Form ADV on September 2nd, 2023. 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 | JUNE |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 10 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,930 | $200.7M |
| Non-Discretionary | 122 | $12.4M |
| Total | 2,052 | $213.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,043 | $210.7M |
| HNW Individuals | 0 | $0 |
| 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 | $1.3M |
| Charitable organizations | <5 | $223,597 |
| 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 | 6 | $872,084 |
| 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 | Portfolio management for individuals and/or small businessesPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-41346 |
|---|---|
| SEC ERA File Number | 801-41346 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 14377 |
| Legal Entity Identifier | None |
Principal Office
9718 N MORTON CTSPOKANE
WA
United States
Monday - Friday, 7:00 A.M TO 3:00 P.M.
Tel: 509-838-1313, Fax: 509-458-5578
Chief Compliance Officer
SHYLA S GIBSON
AMLCO
9718 N MORTON CT
SPOKANE
WA
United States
Tel:
(509) 838-1313
Fax:
(509)458-5578
S******@*******************M
(Full email address available in API data)
Regulatory Contact
PATRICK K. DONAHUE
TREAS/CFO
9718 N MORTON CT
SPOKANE
WA
United States
Tel:
(509) 838-1313
Fax:
(509)458-5578
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 |
|---|---|---|---|---|---|
| DONAHUE, PATRICK KEVIN | Individual | – | TREASURER, CFO | 06/1995 | < 5% |
| NELSON, ROBERT OWEN JR | Individual | – | PRESIDENT, CEO | 05/2017 | > 75% |
| GIBSON, SHYLA SUZANNE | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2017 | < 5% |