Ek Riley Investments, LLC (Seattle)

Name: Ek Riley Investments, LLC
Address: 1420 5 Th Avenue, Seattle, WA, 98101
Telephone: 206-832-1520

Ek Riley Investments, LLC is a large advisory firm based in Seattle. It manages $564.58 million of regulatory assets for 1,804 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Alabama, Arizona, California, and 29 other states.

Ek Riley Investments provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and selection of other advisers. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Ek Riley Investments: assets under management

The assets under management (AUM) of Ek Riley Investments, LLC is $564.58 million. The firm's AUM has grown by 2095% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $463.59 million in discretionary accounts and $100.99 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $296.41 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $420.79 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 64% of the total AUM. The second-largest asset type is government bonds, which make up 23% of the firm’s portfolio. Investments in cash and cash equivalents form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ek Riley Investments, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Brian Paul Bertsch serves?

The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of Brian Paul Bertsch is individuals with 1,781 clients and $506.24 million of assets under management. Among the 7 most similar advisory firms, Ek Riley Investments has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $564.58 million for 1,804 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Ek Riley Investments doesn't advise any private funds.

Careers at Ek Riley Investments, LLC

The company employs 63 people that are either part- or full-time employees. 71 percent of the employees work as investment advisers or researchers. 27 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Brian Paul Bertsch has been acting as President since 1 Jan 2007. Joanne Mauree Salisbury joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Ek Riley & Co.	Member	1 May 2002	75% - 100%	75-3054755
Sarah Lauren Heyne	Chief compliance officer	1 Jul 2003	Other	2419206
Aaron David Louch	Cfo	1 Sep 2003	Other	2662983
Edward King Riley	Elected manager / ceo and chairman	1 Jan 2007	Other	2443409
Brian Paul Bertsch	President	1 Jan 2007	Other	2775727
Alexis Leigh Vanden Bos	Chief compliance officer	1 Jan 2009	Other	830687
Robert John Magnuson	Managing director of the financial services group	1 Jan 2010	Other	317016
Brian Paul Bertsch	Executive vice president / managing director of capital markets group	1 Jun 2010	Other	2775727
Gail Katherine Baker	Chief operating officer	1 Jun 2010	Other	2749741
Aaron David Louch	Executive vice president / chief financial officer	1 Nov 2010	Other	2662983
Alexis Leigh Vanden Bos	Executive vice president / chief compliance officer	1 Nov 2010	Other	830687
Gail Katherine Baker	Executive vice president / chief operating officer	1 Nov 2010	Other	2749741
Christian Royal Moses	Executive vice president / chief technology officer	1 Nov 2010	Other	2836410
Brian Paul Bertsch	President, capital markets group	1 Nov 2010	Other	2775727
Robert John Magnuson	President, financial services group	1 Nov 2010	Other	317016
Brian Paul Bertsch	President & fixed income manager	1 Apr 2013	Other	2775727
John Randolph Bender	Chief business growth officer	1 Apr 2013	Other	1986860
Joanne Mauree Salisbury	Chief compliance officer	1 Oct 2015	Other	1111712

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Edward King Riley	Ceo, shareholder	1 May 2002	75% - 100%	2443409

Based in Seattle

The principal office where Ek Riley Investments, LLC performs its advisory services is located at 1420 5 Th Avenue, Seattle, WA 98101, which is also the mailing address of the firm. An additional office of the firm is in Walla Walla, WA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 206-832-1520 or by fax 206-832-1527. The normal business hours are 6:30 am to 4 pm on Monday - Friday. You can find more information about the New York firm at ekriley.com.