Rigel Capital LLC (Seattle)


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.