HEADWATER INVESTMENT CONSULTING,INC.
Adviser information for HEADWATER INVESTMENT CONSULTING,INC. last updated from Form ADV on January 31st, 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 | Oregon, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 1,205 | $377.6M |
| Non-Discretionary | 87 | $19.1M |
| Total | 1,292 | $396.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 344 | $136.0M |
| HNW Individuals | 167 | $216.8M |
| 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 | 0 | $0 |
| Charitable organizations | 34 | $32.3M |
| 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 | 20 | $11.6M |
| 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 businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-64965 |
|---|---|
| SEC ERA File Number | 801-64965 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 133009 |
| Legal Entity Identifier | None |
Principal Office
408 SE 1ST ST.MCMINNVILLE
OR
United States
Monday - Friday, 8:00 A.M. - 4:30 P.M.
Tel: 503-565-2100, Fax: (503) 565-2101
Chief Compliance Officer
THOMAS SHERWOOD
MANAGING PARTNER
408 SE 1ST ST.
MCMINNVILLE
OR
United States
Tel:
503-565-2100
T**@***************M
(Full email address available in API data)
Regulatory Contact
JOHN CARR
ATTORNEY
6650 SW REDWOOD LANE
SUITE 220
PORTLAND
OR
United States
Tel:
503-635-5244
Fax:
503-635-2955
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 |
|---|---|---|---|---|---|
| CHAMBERS, SCOTT, WILSON | Individual | – | FOUNDING PARTNER | 07/2004 | 10-25% |
| SHERWOOD, THOMAS, JAMES | Individual | – | MANAGING PARTNER & CHIEF COMPLIANCE OFFICER | 01/2018 | 25-50% |
| CHAMBERS, KEVIN, WILSON | Individual | – | MANAGING PARTNER & PRESIDENT | 01/2018 | 25-50% |