Cpcm, LLC (Seattle)

Name: Cpcm, LLC
Address: 1910 Fairview Ave E, Seattle, WA, 98102 3620
Telephone: 206-257-3577

Cpcm, LLC is a large advisory firm based in Seattle. It manages $3.04 billion of regulatory assets for 759 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Alaska, Arizona, California, and 4 other states.

Cpcm provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It prepares financial plans for approximately 700 clients. On top of advisory services, the firm doesn't engage in other business activities.

Cpcm: assets under management

The assets under management (AUM) of Cpcm, LLC is $3.04 billion. The firm's AUM has grown by 2159% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.9 billion in discretionary accounts and $1.14 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $6 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $2.58 million.

Cpcm has custody of $333.99 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Cpcm, LLC 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 Cpcm, LLC

Cpcm, LLC is owned by Stanley Logan Baty. Alan Wood Spragins joined the executive team most recently as the Interim Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Alexander Bryant Washburn	Member	1 Jan 2011	Other	2242453
Daniel Ray Baty	Member	1 Jan 2011	Other	5269632
Paul Walter Parietti	Chief compliance officer	1 Jan 2011	Other	4640872
Jeremy Justin Kiefer	Managing member	1 Jan 2011	Other	2743100
Llc Quartermaster	Member	1 Jan 2011	Other	20-8540009
Stanley Logan Baty	Owner	1 Jan 2011	Other	2370699
Brandon Daniel Baty	Owner	1 Jan 2011	Other	5269635
Arthur Douglas Johnson	Chief compliance officer	1 Jan 2011	Other	3197272
Peder Andrew Schmitz	Member	1 Mar 2011	Other	2869940
Matthew Mcgraw Hipps	Member	1 Mar 2011	Other	2486214
Tyler Scott Ward Gaspard	Member	1 Jan 2013	Other	5618492
Derek Ashton Crump	Chief operating officer	1 May 2015	Other	4531442
Alan Wood Spragins	Interim chief compliance officer	1 Aug 2017	Other	5511431

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Stanley Logan Baty	Managing member	1 Mar 2011	75% - 100%	2370699

Based in Seattle

The principal office where Cpcm, LLC performs its advisory services is located at 1910 Fairview Ave E, Seattle, WA 98102 3620, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 206-257-3577 or by fax 206-357-9307. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at cp-cm.com.