Financial Insights Inc (Tacoma)

Name: Financial Insights Inc
Address: 3110 Ruston Way, Suite C, Tacoma, WA, 98402 5308
Telephone: 253-627-6010

Financial Insights Inc is a large advisory firm based in Tacoma. It manages $367.97 million of regulatory assets for 650 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Florida, and 4 other states.

Financial Insights provides financial planning services, portfolio management for individuals and small businesses, and educational seminars and workshops. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Financial Insights: assets under management

The assets under management (AUM) of Financial Insights Inc is $367.97 million. The firm's AUM has grown by 811% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $366.59 million in discretionary accounts and $1.38 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $565.73 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $688.3 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 61% of the total AUM. The second-largest asset type is exchange traded securities, which make up 29% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Financial Insights Inc for their services and products based on a percentage of assets under management and hourly charges. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Dorothy Anne Lewis serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Dorothy Anne Lewis is high net worth individuals with 111 clients and $211.88 million of assets under management. Among the 12 most similar advisory firms, Financial Insights has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $366.97 million for 645 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.

Financial Insights doesn't advise any private funds.

Careers at Financial Insights Inc

The company employs 18 people that are either part- or full-time employees. 39 percent of the employees work as investment advisers or researchers. 8 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.

Dorothy Anne Lewis has been acting as President since 1 Feb 1981. Alexandria A Criss joined the executive team most recently as the Chief Compliance Officer/Managing Partner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Dorothy Anne Lewis	President/ceo	1 Feb 1981	75% - 100%	1042516
Financial Insights Inc	President	1 Feb 1981	75% - 100%	108797
Terry L Lang	Chief compliance officer	1 Aug 2004	Other	2962216
Terry Lynn Lang	Chief compliance officer	1 Aug 2004	Other	2962216
Marilyn Ann Mullenax	Chief compliance officer	1 Jan 2010	Other	4953072
Alexandria A Criss	Chief compliance officer/managing partner	1 Jan 2014	Other	6209364

Based in Tacoma

The principal office where Financial Insights Inc performs its advisory services is located at 3110 Ruston Way, Suite C, Tacoma, WA 98402 5308 The mailing address of the firm is 2323 N 30 Th Street, Tacoma, WA 98403. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 253-627-6010 or by fax 253-627-6097. The normal business hours are 7:00am -4:00pm on Other. You can find more information about the New York firm at financialinsights.net.