Financial West Investment Group, Inc. (Reno)


Financial West Investment Group, Inc. is an adviser based in Reno. It manages $180 thousand of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2001.

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

Financial West Investment Group: assets under management

The assets under management (AUM) of Financial West Investment Group, Inc. is $180 thousand. The firm's AUM has gone down by -100% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

Investments

The firm invests in other assets the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Financial West Investment Group, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Financial West Investment Group, Inc.

The company employs 4 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative 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 doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Gene Charles Valentine has been acting as President since 1 May 1985. Jacob Michael Doyle joined the executive team most recently as the Vice President.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Gene Charles Valentine Chairman/ceo 1 May 1985 Other 1079871
Todd Evan Melillo Dir. of trading/vp 1 Jun 1991 Other 1108794
Inc. A Nevada Corporation Paradox Holding Shareholder 1 May 1994 75% - 100% 77-0390225
Edward Lowry Price Director/president/sec 1 Nov 1995 Other 1298103
Joanne Valentine Director 1 Nov 1995 Other 2490602
Linda Diane Means Cfo 1 Nov 1996 Other 2282059
Jeffrey Keith Rose V.p chief compliance officer 1 Oct 1999 Other 1008563
Thomas Bradford Krueger Compliance officer 1 Apr 2000 Other 2899998
Ellen Ronnie Friedman Senior compliance officer 1 Jul 2004 Other 424527
William Robert Barber Director 1 Oct 2004 Other xxx-xx-xxxx
Corey Andrew White Compliance officer 1 Feb 2005 Other 4537015
Alexandra Franks Yin Cfo 1 Feb 2005 Other 4452751
Donald Michael Bizub President 1 Feb 2005 Other 1600090
Robert Dalton Creaser Chief compliance officer 1 Feb 2005 Other 3198410
Alexandra Franks Cfo 1 Feb 2005 Other 4452751
Alexandra Lafata Cfo 1 Feb 2005 Other 4452751
Robert Dalton Creaser Chief compliance officer/crop 1 Mar 2005 Other 3198410
Todd Evan Melillo President 1 Jul 2005 Other 1108794
Dorothy Lynn Gibbens Director of compliance/srop 1 Aug 2006 Other 1192309
Thomas Bradford Krueger Chief compliance officer 1 Mar 2010 Other 2899998
Dorothy Lynn Gibbens Co-chief compliance officer 1 Jul 2011 Other 1192309
Howard Davis Co-chief compliance officer 1 Jul 2011 Other 1782118
Ellen Kathia Shearin President 1 Oct 2012 Other 2603576
Corey Andrew White Chief compliance officer 1 Nov 2012 Other 4537015
Mitchell Steven Morrison President 1 Sep 2013 Other 728484
Michael Kirk Deluz Chief financial officer 1 Oct 2013 Other 2526894
Jason Eric Luhan Chief operating officer/general counsel 1 Jul 2014 Other 5483636
Michael Kirk Deluz President/chief financial officer 1 Mar 2015 Other 2526894
Ellen Kathia Shearin President 1 Dec 2015 Other 2603576
Thomas Bradford Krueger Finop 1 Dec 2015 Other 2899998
Al Clifton Hodges Board member 1 Dec 2015 Other 6594701
Landis Griffin Thompson Finop 1 Apr 2017 Other 5536667
Debasish ("Nmn") Banerjee Finop 1 May 2017 Other 1555979
Jacob Michael Doyle Vice president 1 Aug 2017 Other 6014279
Gene Charles Valentine Chief compliance officer 1 Aug 2017 Other 1079871

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Gene Charles Valentine Shareholder 1 Mar 1994 75% - 100% 1079871

Based in Reno

The principal office where Financial West Investment Group, Inc. performs its advisory services is located at 1330 Lander St., Reno, NV 89509 The mailing address of the firm is P.O. Box 12070, Reno, NV 89502 2119. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 775-346-3080 or by fax 775-346-3082. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at fwg.com.

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