Koenig Investment Advisory, LLC (Medford)

Name: Koenig Investment Advisory, LLC
Address: 1020 E Jackson St, Medford, OR, 97504
Telephone: 541-608-0551

Koenig Investment Advisory, LLC is a large advisory firm based in Medford. It manages $152.76 million of regulatory assets for 600 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of California, Colorado, Nebraska, and 3 other states.

Koenig Investment Advisory provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and publication of newsletters. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Koenig Investment Advisory: assets under management

The assets under management (AUM) of Koenig Investment Advisory, LLC is $152.76 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 97% since the beginning of its operation, and $97.85 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $152.76 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $254.59 thousand each.

Koenig Investment Advisory has custody of $58.82 million in cash and securities for 179 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in pooled investment vehicles the most. They account for 74% of the total AUM. The second-largest asset type is exchange traded securities, which make up 12% of the firm’s portfolio. Investments in non-exchange traded securities form 10% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Koenig Investment Advisory, LLC for their services and products based on a percentage of assets under management. 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.

What kind of clients Koenig Investment Advisory serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Koenig Investment Advisory is high net worth individuals with 104 clients and $108.69 million of assets under management. Among the 9 most similar advisory firms, Koenig Investment Advisory has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $152.33 million for 324 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.

Koenig Investment Advisory doesn't advise any private funds.

Careers at Koenig Investment Advisory, LLC

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 3 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.

Koenig Investment Advisory, LLC is owned by Gregory Alan Koenig. Jeffrey L Mccullough joined the executive team most recently as the Managing Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gregory Alan Koenig	Owner	1 Mar 1990	75% - 100%	1342457
Lorrie Anne Miller	Chief compliance officer	1 Nov 2007	Other	5296122
Jeffrey L Mccullough	Managing member	1 Feb 2018	Other	5357489

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Allison Koenig	Silent owner (5%)	1 Jun 2007	Other	5887273

Based in Medford

The principal office where Koenig Investment Advisory, LLC performs its advisory services is located at 1020 E Jackson St, Medford, OR 97504, 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 541-608-0551 or by fax 541-608-0423. The normal business hours are 6:30 am to 3:00 pm on Monday - Friday. You can find more information about the New York firm at koeniginvestment.com.