VIRIDIAN RIA, LLC

HTTP://VIRIDIANADVISORS.COM/ BOTHELL, WA Investment Advisor How do I update this listing?

Viridian Ria is based out of Bothell. Viridian Ria is a large advisory firm with 789 clients and discretionary assets under management (AUM) of $490,830,487 (Form ADV from 2019-03-26). Their last reported 13F filing for Q3 2019 included $240,230,000 in managed 13F securities and a top 10 holdings concentration of 67.77%. Viridian Ria's largest holding is Vanguard FTSE Developed Markets ETF with shares held of 626,447. Whalewisdom has at least 8 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $240.23 Million
  • Prior Market Value $247.916 Million
  • New Purchases2 stocks
  • Additional Purchases24 stocks
  • Sold out of2 stocks
  • Reduced holdings in19 stocks
  • Top 10 Holdings % 67.77 %
  • Turnover % [1]:7.02%
  • Turnover Alt % [2]: 7.87 %
  • Time Held Top20:4.20 quarters
  • Time Held Top10:4.20 quarters
  • Time Held All:4.47 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 2019-11-14

Performance for Q3 2019: 6.06%
Performance Last 4 Quarters: 13.45%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 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)

View Last Form Adv Compilation Report on Record

VIRIDIAN RIA, LLC
22232 17TH AVE SE SUITE 210
BOTHELL WA    98021
Country: United States

Business Phone: 206-388-2210
Fax: 206-577-3905
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: WA
Number of employees: 27
Other Business Activities: insurance broker or agent,accountant or accounting firm
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 151,789,000
Total Number of Clients: 789
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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VIRIDIAN RIA, LLC

ownership team - last updated 2019-03-26
Name Title Start Date Direct/Indirect % Ownership
VIRIDIAN INVESTMENT MANAGEMENT, CORP. MANAGING MEMBER 09/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
VIRIDIAN INVESTMENT MANAGEMENT CORP OWNER direct 2014-09-01
VIRIDIAN RIA, LLC MANAGING MEMBER direct 2014-09-01
JAEGER, MARK, DEAN CHIEF OPERATING OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPROPRIATE BALANCE FINANCIAL SERVICES INC CHIEF COMPLIANCE OFFICER direct 2011-03-01
APPROPRIATE BALANCE FINANCIAL SERVICES INC CHIEF COMPLIANCE OFFICER direct 2017-02-01
FINANCIAL SECURITY GROUP, L.L.C. MANAGING PARTNER direct 1999-07-01
MOSS ADAMS WEALTH ADVISORS LLC COO indirect 1999-07-01
MOSS ADAMS WEALTH ADVISORS LLC MANAGING MEMBER/PRESIDENT direct 1999-07-01
FINANCIAL SECURITY GROUP, L.L.C. MANAGING MEMBER indirect 1999-07-01
FINANCIAL SECURITY GROUP, L.L.C. MANAGING PARTNER indirect 1999-07-01
FINANCIAL SECURITY GROUP, L.L.C. MANAGING MEMBER direct 1999-07-01
MOSS ADAMS WEALTH ADVISORS LLC CHIEF OPERATING OFFICER direct 1999-07-01
VIRIDIAN RIA, LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01
TAM, ADRIEL CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPROPRIATE BALANCE FINANCIAL SERVICES INC PRESIDENT direct 2017-02-01
VIRIDIAN INVESTMENT MANAGEMENT CORP CHIEF COMPLIANCE OFFICER direct 2014-09-01
VIRIDIAN RIA, LLC OWNER indirect 2014-09-01
VIRIDIAN RIA, LLC OWNER indirect 2017-03-01
VIRIDIAN RIA, LLC PRESIDENT direct 2017-03-01
TAM, ADRIEL OWNER APPROPRIATE BALANCE HOLDINGS, INC. 03/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
APPROPRIATE BALANCE FINANCIAL SERVICES INC PRESIDENT direct 2017-02-01
VIRIDIAN INVESTMENT MANAGEMENT CORP CHIEF COMPLIANCE OFFICER direct 2014-09-01
VIRIDIAN RIA, LLC OWNER indirect 2014-09-01
VIRIDIAN RIA, LLC OWNER indirect 2017-03-01
VIRIDIAN RIA, LLC PRESIDENT direct 2017-03-01
DUSENBURY, MARCUS, DELVIN OWNER APPROPRIATE BALANCE HOLDINGS, INC. 03/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
APPROPRIATE BALANCE FINANCIAL SERVICES INC DIRECTOR direct 2017-02-01
VIRIDIAN INVESTMENT MANAGEMENT CORP OWNER indirect 2014-09-01
VIRIDIAN RIA, LLC OWNER indirect 2017-03-01
APPROPRIATE BALANCE HOLDINGS, INC. OWNER VIRIDIAN INVESTMENT MANAGEMENT, CORP. 02/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VIRIDIAN INVESTMENT MANAGEMENT CORP OWNER direct 2014-09-01
VIRIDIAN RIA, LLC MANAGING MEMBER direct 2014-09-01

VIRIDIAN RIA, LLC

ownership team - last updated 2018-04-30
Name Title Start Date Direct/Indirect % Ownership
VIRIDIAN INVESTMENT MANAGEMENT, CORP. MANAGING MEMBER 09/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
VIRIDIAN INVESTMENT MANAGEMENT CORP OWNER direct 2014-09-01
VIRIDIAN RIA, LLC MANAGING MEMBER direct 2014-09-01
JAEGER, MARK, DEAN CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPROPRIATE BALANCE FINANCIAL SERVICES INC CHIEF COMPLIANCE OFFICER direct 2011-03-01
APPROPRIATE BALANCE FINANCIAL SERVICES INC CHIEF COMPLIANCE OFFICER direct 2017-02-01
FINANCIAL SECURITY GROUP, L.L.C. MANAGING PARTNER direct 1999-07-01
MOSS ADAMS WEALTH ADVISORS LLC COO indirect 1999-07-01
MOSS ADAMS WEALTH ADVISORS LLC MANAGING MEMBER/PRESIDENT direct 1999-07-01
FINANCIAL SECURITY GROUP, L.L.C. MANAGING MEMBER indirect 1999-07-01
FINANCIAL SECURITY GROUP, L.L.C. MANAGING PARTNER indirect 1999-07-01
FINANCIAL SECURITY GROUP, L.L.C. MANAGING MEMBER direct 1999-07-01
MOSS ADAMS WEALTH ADVISORS LLC CHIEF OPERATING OFFICER direct 1999-07-01
VIRIDIAN RIA, LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01
TAM, ADRIEL PRESIDENT 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
APPROPRIATE BALANCE FINANCIAL SERVICES INC PRESIDENT direct 2017-02-01
VIRIDIAN INVESTMENT MANAGEMENT CORP CHIEF COMPLIANCE OFFICER direct 2014-09-01
VIRIDIAN RIA, LLC OWNER indirect 2014-09-01
VIRIDIAN RIA, LLC OWNER indirect 2017-03-01
VIRIDIAN RIA, LLC PRESIDENT direct 2017-03-01
TAM, ADRIEL OWNER APPROPRIATE BALANCE HOLDINGS, INC. 03/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
APPROPRIATE BALANCE FINANCIAL SERVICES INC PRESIDENT direct 2017-02-01
VIRIDIAN INVESTMENT MANAGEMENT CORP CHIEF COMPLIANCE OFFICER direct 2014-09-01
VIRIDIAN RIA, LLC OWNER indirect 2014-09-01
VIRIDIAN RIA, LLC OWNER indirect 2017-03-01
VIRIDIAN RIA, LLC PRESIDENT direct 2017-03-01
DUSENBURY, MARCUS, DELVIN OWNER APPROPRIATE BALANCE HOLDINGS, INC. 03/01/2017 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
APPROPRIATE BALANCE FINANCIAL SERVICES INC DIRECTOR direct 2017-02-01
VIRIDIAN INVESTMENT MANAGEMENT CORP OWNER indirect 2014-09-01
VIRIDIAN RIA, LLC OWNER indirect 2017-03-01
APPROPRIATE BALANCE HOLDINGS, INC. OWNER VIRIDIAN INVESTMENT MANAGEMENT, CORP. 02/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VIRIDIAN INVESTMENT MANAGEMENT CORP OWNER direct 2014-09-01
VIRIDIAN RIA, LLC MANAGING MEMBER direct 2014-09-01

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