Orca Investment Management, LLC (Roseburg)


Orca Investment Management, LLC is a large advisory firm based in Roseburg. It manages $142.54 million of regulatory assets for 644 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of California, Louisiana, Oregon, and Washington.

Orca Investment Management 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.

Orca Investment Management: assets under management

The assets under management (AUM) of Orca Investment Management, LLC is $142.54 million. The firm's AUM has grown by 50% since the beginning of its operation, and $408.72 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $141.78 million in discretionary accounts and $758.44 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $221.87 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $151.69 thousand.
Orca Investment Management has custody of $24.35 million in cash and securities for 73 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 64% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 15% of the firm’s portfolio. Investments in investment grade corporate bonds form 14% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Orca Investment Management, LLC for their services and products based on a percentage of assets under management and fixed fees. 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.

What kind of clients Orca Investment Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Orca Investment Management is high net worth individuals with 30 clients and $78.42 million of assets under management. Among the 10 most similar advisory firms, Orca Investment Management has the 4th lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $139.05 million for 311 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Orca Investment Management doesn't advise any private funds.

Careers at Orca Investment Management, LLC

The company employs 8 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 5 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 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.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Shawn Patrick Willard President, managing member 1 May 2007 50% - 75% 2430899
Kerwin Luther Doughton Member, senior portfolio manager 1 Jan 2010 Other 70917
Kimberly Sue Friel Member, chief compliance officer 1 Jan 2010 Other 5123423
Kimberly Friel Member, chief compliance officer 1 Jan 2010 Other 5123423
Roger Keith Thomas Member, fixed income portfolio manager 1 Apr 2012 Other 4377628
William George Barham Member, senior portfolio manager 1 Jan 2013 Other 12438
Kerwin Luther Doughton Unit holder 1 Jan 2018 Other 70917

Based in Roseburg

The principal office where Orca Investment Management, LLC performs its advisory services is located at 2250 Aviation Drive, Roseburg, OR 97470, which is also the mailing address of the firm. An additional office of the firm is in Lake Oswego, OR. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (541) 672-3469 or by fax (541) 672-1610. The normal business hours are 9:00 a.m. - 5:00 p.m. on Monday - Friday.