Umpqua Investments, Inc. is a large advisory firm based in Portland. It manages $704.43 million of regulatory assets for 2,195 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of Alaska, Arizona, Arkansas, and 40 other states.
Umpqua Investments provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Umpqua Investments, Inc. is $704.43 million. The firm's AUM has grown by 406% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has a single stream of revenue. Clients pay Umpqua Investments, 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.
The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Cort Lane O'haver is individuals with 1,965 clients and $404.17 million of assets under management. Among the 9 most similar advisory firms, Umpqua Investments has the 2nd highest percentage of individuals out of all clients.
The amount of regulatory assets under management is $702.98 million for 2,191 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.
Umpqua Investments doesn't advise any private funds.
The company employs 79 people that are either part- or full-time employees. 72 percent of the employees work as investment advisers or researchers. 66 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Cort Lane O'haver has been acting as President since 1 Jan 2014. Steven Byungkwan Chang joined the executive team most recently as the Chief Compliance Officer.
The principal office where Umpqua Investments, Inc. performs its advisory services is located at One Sw Columbia Street, Portland, OR 97204, which is also the mailing address of the firm. An additional office of the firm is in Sacramento, CA. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 503-226-7000 or by fax 503-226-0202. The normal business hours are 7:30 am - 4:15 pm on Monday - Friday. You can find more information about the New York firm at umpquainvestments.com.