Headwater Investment Consulting,Inc. (Mcminnville)

Name: Headwater Investment Consulting,Inc.
Address: 408 Se 1 St St., Mcminnville, OR, 97128
Telephone: 503-565-2100

Headwater Investment Consulting,Inc. is a large advisory firm based in Mcminnville. It manages $198.26 million of regulatory assets for 718 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of California, Oregon, and Washington.

Headwater Investment Consulting provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Headwater Investment Consulting: assets under management

The assets under management (AUM) of Headwater Investment Consulting,Inc. is $198.26 million. The firm's AUM has grown by 520% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $181.77 million in discretionary accounts and $16.49 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $265.74 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $485.09 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 67% of the total AUM. The second-largest asset type is exchange traded securities, which make up 26% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Headwater Investment Consulting,Inc. for their services and products based on a percentage of assets under management. 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.

What kind of clients Headwater Investment Consulting serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Headwater Investment Consulting is high net worth individuals with 123 clients and $122.67 million of assets under management. Among the 6 most similar advisory firms, Headwater Investment Consulting has the 3rd lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $196.07 million for 370 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.

Headwater Investment Consulting doesn't advise any private funds.

Careers at Headwater Investment Consulting,Inc.

The company employs 5 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person 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 receive compensation from other entities for client referrals.

Headwater Investment Consulting,Inc. is owned by Scott Wilson Chambers. Thomas James Sherwood joined the executive team most recently as the Portfolio Manager & Retirement Specialist / Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Scott Wilson Chambers	Chief compliance officer/owner	1 Jul 2004	75% - 100%	4873496
Brian John Lawrence	Principal/chief compliance officer	1 Sep 2004	50% - 75%	2917764
Thomas James Sherwood	Portfolio manager & retirement specialist / shareholder	1 Jan 2018	Other	5821112
Kevin Wilson Chambers	Client manager / shareholder	1 Jan 2018	Other	6269021

Based in Mcminnville

The principal office where Headwater Investment Consulting,Inc. performs its advisory services is located at 408 Se 1 St St., Mcminnville, OR 97128 The mailing address of the firm is 408 Se 1 St St., Mcminnville, OR 97128. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 503-565-2100 or by fax (503) 565-2101. The normal business hours are 8:00 a.m. - 4:30 p.m. on Monday - Friday. You can find more information about the New York firm at headwater-ic.com.