RAINIER GROUP INVESTMENT ADVISORY LLC

HTTP://WWW.RGINV.COM BELLEVUE, WA Investment Advisor How do I update this listing?

Rainier Group Investment Advisory is based out of Bellevue. Rainier Group Investment Advisory is a large advisory firm with 288 clients and discretionary assets under management (AUM) of $567,761,711 (Form ADV from 2018-11-01). Their last reported 13F filing for Q2 2019 included $223,085,000 in managed 13F securities and a top 10 holdings concentration of 92.55%. Rainier Group Investment Advisory's largest holding is iShares Core S&P 500 ETF with shares held of 480,783. Whalewisdom has at least 17 13F filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $223.085 Million
  • Prior Market Value $226.89 Million
  • New Purchases5 stocks
  • Additional Purchases30 stocks
  • Sold out of2 stocks
  • Reduced holdings in3 stocks
  • Top 10 Holdings % 92.55 %
  • Turnover % [1]:16.28%
  • Turnover Alt % [2]: 7.21 %
  • Time Held Top20:6.65 quarters
  • Time Held Top10:7.00 quarters
  • Time Held All:7.47 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -0.28%
Performance Last 4 Quarters: 3.31%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR/A (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

COLDSTREAM WEALTH MANAGEMENT
1 - 100TH AVENUE NE, SUITE 102
BELLEVUE WA    98004
Country: United States

Business Phone: 425-463-3000
Fax: 425-463-3044
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: WA
Number of employees: 15
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 213,848,000
Total Number of Clients: 288
Amount of client funds and securities by related persons: 4,260,000
Total Number of clients from related persons: 20
Disclosures:
Data above was derived from SEC filings.

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RAINIER GROUP INVESTMENT ADVISORY LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
COLDSTREAM HOLDINGS INC SHAREHOLDER 04/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
RG INVESTMENT ADVISORY LLC SHAREHOLDER direct 1999-11-01
RAINIER GROUP INVESTMENT ADVISORY LLC MEMBER direct 1999-11-01
RAINIER GROUP INVESTMENT ADVISORY LLC SHAREHOLDER direct 2017-04-01
YELLE, ERIKA, ENG CHIEF COMPLIANCE OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
COLDSTREAM CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2004-03-01
GENESEE INVESTMENTS LLC CHIEF COMPLIANCE OFFICER direct 2011-03-01
RAINIER GROUP INVESTMENT ADVISORY LLC CHIEF COMPLIANCE OFFICER direct 2017-04-01
FITZWILSON, KEVIN, MICHAEL GOVERNOR- LLC ; MANAGING SHAREHOLDER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
COLDSTREAM CAPITAL MANAGEMENT INC PRESIDENT; CHAIRMAN OF BOARD direct 1997-10-01
GENESEE INVESTMENTS LLC MANAGING SHAREHOLDER indirect 1997-10-01
RAINIER GROUP INVESTMENT ADVISORY LLC PRESIDENT; CHAIRMAN OF THE BOARD indirect 2017-04-01
RAINIER GROUP INVESTMENT ADVISORY LLC GOVERNOR- LLC ; MANAGING SHAREHOLDER direct 2017-04-01
COLDSTREAM CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1997-10-01 2011-01-26
COLDSTREAM CAPITAL MANAGEMENT INC PARTNER direct 1997-10-01 2011-05-18
COLDSTREAM CAPITAL MANAGEMENT INC MANAGING PARTNER direct 1997-10-01 2013-04-01
GENESEE INVESTMENTS LLC PARTNER indirect 1997-10-01 2014-10-17
PLATT, PHILIP, THOMAS GOVERNOR- LLC; CHIEF OPERATING OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPROPRIATE BALANCE FINANCIAL SERVICES INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
COLDSTREAM CAPITAL MANAGEMENT INC SECRETARY; CHIEF OPERATING OFFICER direct 2014-04-01
COLDSTREAM CAPITAL MANAGEMENT INC CHIEF OPERATING OFFICER direct 2014-04-01
THRESHOLD GROUP, LLC MANAGING DIRECTOR OF OPERATIONS direct 2011-08-01
RAINIER GROUP INVESTMENT ADVISORY LLC GOVERNOR- LLC; CHIEF OPERATING OFFICER direct 2017-04-01
FITZWILSON, KEVIN, MICHAEL PRESIDENT; CHAIRMAN OF THE BOARD COLDSTREAM HOLDINGS INC 04/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
COLDSTREAM CAPITAL MANAGEMENT INC PRESIDENT; CHAIRMAN OF BOARD direct 1997-10-01
GENESEE INVESTMENTS LLC MANAGING SHAREHOLDER indirect 1997-10-01
RAINIER GROUP INVESTMENT ADVISORY LLC PRESIDENT; CHAIRMAN OF THE BOARD indirect 2017-04-01
RAINIER GROUP INVESTMENT ADVISORY LLC GOVERNOR- LLC ; MANAGING SHAREHOLDER direct 2017-04-01
COLDSTREAM CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1997-10-01 2011-01-26
COLDSTREAM CAPITAL MANAGEMENT INC PARTNER direct 1997-10-01 2011-05-18
COLDSTREAM CAPITAL MANAGEMENT INC MANAGING PARTNER direct 1997-10-01 2013-04-01
GENESEE INVESTMENTS LLC PARTNER indirect 1997-10-01 2014-10-17

RAINIER GROUP INVESTMENT ADVISORY LLC

ownership team - last updated 2017-08-02
Name Title Start Date Direct/Indirect % Ownership
PLATT, PHILIP, THOMAS GOVERNOR- LLC; CHIEF OPERATING OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPROPRIATE BALANCE FINANCIAL SERVICES INC CHIEF COMPLIANCE OFFICER direct 2004-10-01
COLDSTREAM CAPITAL MANAGEMENT INC SECRETARY; CHIEF OPERATING OFFICER direct 2014-04-01
COLDSTREAM CAPITAL MANAGEMENT INC CHIEF OPERATING OFFICER direct 2014-04-01
THRESHOLD GROUP, LLC MANAGING DIRECTOR OF OPERATIONS direct 2011-08-01
RAINIER GROUP INVESTMENT ADVISORY LLC GOVERNOR- LLC; CHIEF OPERATING OFFICER direct 2017-04-01
FITZWILSON, KEVIN, MICHAEL GOVERNOR- LLC ; MANAGING SHAREHOLDER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
COLDSTREAM CAPITAL MANAGEMENT INC PRESIDENT; CHAIRMAN OF BOARD direct 1997-10-01
GENESEE INVESTMENTS LLC MANAGING SHAREHOLDER indirect 1997-10-01
RAINIER GROUP INVESTMENT ADVISORY LLC PRESIDENT; CHAIRMAN OF THE BOARD indirect 2017-04-01
RAINIER GROUP INVESTMENT ADVISORY LLC GOVERNOR- LLC ; MANAGING SHAREHOLDER direct 2017-04-01
COLDSTREAM CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1997-10-01 2011-01-26
COLDSTREAM CAPITAL MANAGEMENT INC PARTNER direct 1997-10-01 2011-05-18
COLDSTREAM CAPITAL MANAGEMENT INC MANAGING PARTNER direct 1997-10-01 2013-04-01
GENESEE INVESTMENTS LLC PARTNER indirect 1997-10-01 2014-10-17
YELLE, ERIKA, ENG CHIEF COMPLIANCE OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
COLDSTREAM CAPITAL MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2004-03-01
GENESEE INVESTMENTS LLC CHIEF COMPLIANCE OFFICER direct 2011-03-01
RAINIER GROUP INVESTMENT ADVISORY LLC CHIEF COMPLIANCE OFFICER direct 2017-04-01
COLDSTREAM HOLDINGS INC SHAREHOLDER 04/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
RG INVESTMENT ADVISORY LLC SHAREHOLDER direct 1999-11-01
RAINIER GROUP INVESTMENT ADVISORY LLC MEMBER direct 1999-11-01
RAINIER GROUP INVESTMENT ADVISORY LLC SHAREHOLDER direct 2017-04-01
FITZWILSON, KEVIN, MICHAEL PRESIDENT; CHAIRMAN OF THE BOARD COLDSTREAM HOLDINGS INC. 04/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
COLDSTREAM CAPITAL MANAGEMENT INC PRESIDENT; CHAIRMAN OF BOARD direct 1997-10-01
GENESEE INVESTMENTS LLC MANAGING SHAREHOLDER indirect 1997-10-01
RAINIER GROUP INVESTMENT ADVISORY LLC PRESIDENT; CHAIRMAN OF THE BOARD indirect 2017-04-01
RAINIER GROUP INVESTMENT ADVISORY LLC GOVERNOR- LLC ; MANAGING SHAREHOLDER direct 2017-04-01
COLDSTREAM CAPITAL MANAGEMENT INC MANAGING DIRECTOR direct 1997-10-01 2011-01-26
COLDSTREAM CAPITAL MANAGEMENT INC PARTNER direct 1997-10-01 2011-05-18
COLDSTREAM CAPITAL MANAGEMENT INC MANAGING PARTNER direct 1997-10-01 2013-04-01
GENESEE INVESTMENTS LLC PARTNER indirect 1997-10-01 2014-10-17

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