Ken Roberts Investment Management, Inc. (Spokane)

Ken Roberts Investment Management, Inc. is a large advisory firm based in Spokane. It manages $299.55 million of regulatory assets for 708 client accounts. It has been registered with the SEC as an adviser since 2000 and has operated in the jurisdictions of Arizona, California, Idaho, and 6 other states.

Ken Roberts Investment Management provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and provide broad market commentary on a limited basis & investment recommendations to model program sponsors. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ken Roberts Investment Management: assets under management

The assets under management (AUM) of Ken Roberts Investment Management, Inc. is $299.55 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 11% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $299.55 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $423.1 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ken Roberts Investment Management, Inc. for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Ken Roberts Investment Management, Inc.

Leslie Jo Yates has been acting as President since 1 Jul 2011. Bryn Douglas Harman joined the executive team most recently as the Chief Investment Officer, Chief Financial Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kenneth Melvin Roberts	President,chief inv. officer	1 Nov 1994	75% - 100%	401041
Karen Doreen Harris	Chief operations officer	1 Jan 1998	Other	4298686
Heather Anne Lalone	V-pres.,assoc. portfolio mgr.	1 Mar 1998	Other	1544196
Heather Anne Shea	V-pres.,managing dir.,assoc. portfolio mgr.	1 Mar 1998	Other	1544196
Brittani Donelle Gomer	Shareholder, bookkeeper	1 Jul 1998	Other	4298683
Leslie Jo Yates	Chief operating officer,managing dir.	1 Mar 2003	Other	2652655
Leslie Jo Yates	V-pres,managing dir,treasurer,chief compliance officer	1 Jun 2004	Other	2652655
Leslie Jo Yates	President/chief compliance officer/secretary	1 Jul 2011	Other	2652655
Elizabeth Jean Gabriel	Sr. managing dir, business development & client relations//vice president	1 Jul 2011	Other	1763085
Jeffrey William Trudeau	Sr. managing dir//portfolio mgr//sr trader	1 Jul 2011	Other	2079385
Bryn Douglas Harman	Senior portfolio manager/director	1 Apr 2012	Other	4986126
Kenneth Melvin Roberts	Chief investment strategist, chairman, treasurer	1 Aug 2012	75% - 100%	401041
Kenneth Melvin Roberts	Chief compliance officer, president	1 May 2013	75% - 100%	401041
Bryn Douglas Harman	Chief investment officer, chief financial officer	1 Oct 2013	Other	4986126
Barry Thomas Menne	Chief compliance officer, president	1 Oct 2013	Other	2316455
Llc. Harman Menne Holdings	Shareholder	1 Oct 2013	75% - 100%	46-2956062

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Barry Thomas Menne	Member	1 Aug 2013	50% - 75%	2316455
Bryn Douglas Harman	Member	1 Aug 2013	50% - 75%	4986126

Based in Spokane

The principal office where Ken Roberts Investment Management, Inc. performs its advisory services is located at 717 W Sprague Avenue, Spokane, WA 99201, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (509)624-5591 or by fax (509)624-7215. The normal business hours are 7:30 a.m.-3:30 p.m. on Monday - Friday.