Windermere Investment Associates, LLC (Portland)

Name: Windermere Investment Associates, LLC
Address: 121 S W Morrison, Portland, OR, 97204
Telephone: 503-228-3941

Windermere Investment Associates, LLC is an adviser based in Portland. It manages $18.85 million of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdiction of Oregon.

Windermere Investment Associates provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Windermere Investment Associates: assets under management

The assets under management (AUM) of Windermere Investment Associates, LLC is $18.85 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -82% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $18.85 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.77 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Windermere Investment Associates, 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 Windermere Investment Associates, LLC

Nancy Louise Jacob has been acting as President since 1 Apr 2004. David Bruce Elliott joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Nancy Louise Jacob	President	1 Apr 2004	Other	1722882
Laura Jean York	Chief operating officer/chief compliance officer	1 Apr 2004	Other	4369273
Llc Lydian Wealth Management	Shareholder	1 Apr 2004	75% - 100%	107659
Llc Lydian Wealth Management Company	Shareholder	1 Apr 2004	75% - 100%	107659
David Bruce Elliott	Chief compliance officer	1 Apr 2006	Other	4579531
Andrew Putterman	Co-chief executive officer	1 Apr 2006	Other	3122891
Steven David Lockshin	Co-chief executive officer	1 Apr 2006	Other	1557803
Steven David Lockshin	Chief executive officer	1 Jan 2007	Other	1557803

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Lydian Wealth Management Holdings Company	Parent corporation	1 Jul 1998	75% - 100%	52-1869995
Lydian Trust Company	Parent corporation	1 Jan 2001	75% - 100%	65-0916372

Based in Portland

The principal office where Windermere Investment Associates, LLC performs its advisory services is located at 121 S W Morrison, Portland, OR 97204, 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 503-228-3941 or by fax 503-228-3989. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.windinvest.com.