Rigel Capital LLC (Seattle)

Name: Rigel Capital LLC
Address: 3930 Two Union Square, Seattle, WA, 98101
Telephone: 206-467-5000

Rigel Capital LLC is a large advisory firm based in Seattle. It manages $616.78 million of regulatory assets for 54 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of California, Florida, Georgia, and 8 other states.

Rigel Capital provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rigel Capital: assets under management

The assets under management (AUM) of Rigel Capital LLC is $616.78 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 104% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $616.78 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $11.42 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rigel Capital LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Rigel Capital LLC

James Dombek has been acting as President since 1 Jul 2003. John Meade Corby joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jeffrey Brant Kauffman	Vice president, portfolio manager	1 Aug 1998	Other	2862943
James Dombek	Manager	1 Oct 2001	Other	4587015
George Bertram Kauffman	Chairman,ceo,cio, president, manager	1 Dec 2001	75% - 100%	1842005
Robert Louis Stephenson	Executive vice president, manager	1 Dec 2001	Other	1826146
Charles Laverne Nelson	Vp, coo, portfolio manager	1 Dec 2001	Other	2131859
Lynn Allison Rowley	Vp, operations and administration	1 Dec 2001	Other	1399066
Ann Mary Moe	Senior v p, manager	1 Apr 2002	Other	2466461
Rafael Antonio Villagran	Sr. vp, portfolio manager	1 May 2002	Other	1407829
Ashley Roehl	Administrative associate	1 Aug 2002	Other	4715928
Rigel Capital Management Inc	Owner	1 Jul 2003	75% - 100%	108598
George Bertram Kauffman	Chairman,ceo,cio	1 Jul 2003	Other	1842005
Robert Louis Stephenson	Executive vice president	1 Jul 2003	Other	1826146
Ann Mary Moe	President and director	1 Jul 2003	Other	2466461
Charles Laverne Nelson	Vice president-coo	1 Jul 2003	Other	2131859
Rafael Antonio Villagran	Senior vice president	1 Jul 2003	Other	1407829
Jeffrey Brant Kauffman	Vice president	1 Jul 2003	Other	2862943
Lynn Allison Rowley	Vp, operations and administration	1 Jul 2003	Other	1399066
James Dombek	Director	1 Jul 2003	Other	4587015
Strategic Investment Group Ventures Llc	Owner	1 Oct 2003	25% - 50%	31-1745284
Leonyl Cueto Camo	Assistant vice president	1 Nov 2003	Other	2520190
Todd Sinclair Jessup	Senior vice president	1 Feb 2004	Other	4575423
Jeffrey Lamar Schmidt	Research associate	1 Jul 2004	Other	4849547
John Meade Corby	Senior vice president	1 Oct 2004	Other	2568682
Lynn Allison Rowley	Chief compliance officer	1 Mar 2007	Other	1399066
Roger William Landes	Chief compliance officer	1 Jul 2008	Other	5567994
Winthrop Stacey Jessup	Ceo	1 Feb 2009	Other	258576
Lynn Allison Rowley	Chief compliance officer	1 Oct 2009	Other	1399066

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
California Public Employees Retirement System	Owner	1 Apr 2000	75% - 100%	94-6207465
John Meade Corby	Shareholder	1 Feb 2010	25% - 50%	2568682

Based in Seattle

The principal office where Rigel Capital LLC performs its advisory services is located at 3930 Two Union Square, Seattle, WA 98101, 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 206-467-5000 or by fax 206-467-5055. The normal business hours are 6:30 am--4:00 pm on Monday - Friday. You can find more information about the New York firm at www.rigelcap.com.