A5 Financial LLC

RIAState Registered
Total AUM
$14.9M
Discretionary
$14.9M
100% of AUM
Avg account
$479K
Accounts
31
Employees
2
Advisory reps
2

Firm details

Headquarters
Bothell, Washington
CRD number
334313
Custodians
CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC, JACKSON
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI82.66%
  • Individuals17.34%
Services
Financial PlanningPortfolio Management for IndividualsSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

A5 Financial LLC is an independent, individual-owned registered investment adviser that serves primarily individual and family clients. The firm acts as a capital allocator and provides a mix of financial planning and discretionary portfolio management alongside selection-of-other-adviser services and educational workshops. Its fee model is flexible: percentage-of-AUM billing is used alongside hourly and fixed-fee arrangements. The adviser does not position itself as an ESG-focused manager, is not multi-state registered, and does not advertise pension consulting or related-adviser services.

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 52%, Exchange Traded Equities 32%, Other 13%, Cash & Cash Equivalents 3%52%
  • Public Funds/Mutual Funds52%
  • Exchange Traded Equities32%
  • Other13%
  • Cash & Cash Equivalents3%

Owners & executives

1 of 1
  • John Carruthers

    John Carruthers

    Chief Compliance Officer, Investment Advisor RepresentativeCRD 5889774

Contacts

1 of 1
  • Neil Fenning

    Neil Fenning

    Wealth AdvisorCRD 6627691

Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

Bothell, WA

Snohomish

Location

Bothell, WA

Headquartered in Bothell, WA, anchoring the Seattle-Tacoma, WA metro in the West.

Metro area
Seattle-Tacoma, WA
Region
West
County
Snohomish
Address
22722 29th Dr Se
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth