Prime Advisors Inc (Redmond)


Prime Advisors Inc is a large advisory firm based in Redmond. It manages $17.66 billion of regulatory assets for 359 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Connecticut, and Washington.

Prime Advisors provides portfolio management for businesses and institutional clients and prime provides sub-advisory services to organizations providing family office services.. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Prime Advisors: assets under management

The assets under management (AUM) of Prime Advisors Inc is $17.66 billion. The firm's AUM has grown by 699% since the beginning of its operation, and $196.65 million of the total AUM is attributable to clients outside of the United States.

The firm manages $17.49 billion in discretionary accounts and $169.76 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $51.28 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $9.43 million.

Investments

The firm invests in state and local bonds the most. They account for 40% of the total AUM. The second-largest asset type is other assets, which make up 16% of the firm’s portfolio. Investments in government bonds form 11% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Prime Advisors Inc for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. 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.

What kind of clients Duane Irwin Castles serves?

The firm provides services to insurance companies, charitable organizations, and high net worth individuals. The largest group of clients of Duane Irwin Castles is insurance companies with 74 clients and $12.05 billion of assets under management. Among the 8 most similar advisory firms, Prime Advisors has the highest percentage of insurance companies out of all clients.

The amount of regulatory assets under management is $17.56 billion for 85 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 5% of the firm’s clients are foreign persons or businesses.

Prime Advisors doesn't advise any private funds.

Careers at Prime Advisors Inc

The company employs 56 people that are either part- or full-time employees. 43 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 compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Duane Irwin Castles has been acting as President since 1 Nov 2011. Marc Wallace Tollefson has served as the Chief Investment Officer since 1 Jul 2007. Randolph Brill Brown joined the executive team most recently as the Board Member.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Duane Irwin Castles Chairman & ceo 1 Nov 1988 Other 1364054
Vincent Thomas Rowland President 1 May 1991 Other 4347101
Frank Samuel Conde Chief investment actuary 1 Oct 1994 Other 4347126
Jeffrey Alan Johnson Chief financial officer 1 Sep 1996 Other 4347121
Lewis Leon Senior vice president, accounting 1 Sep 1997 Other 6471053
Robert Joseph Macmillan Senior vice president & portfolio strategist 1 Oct 1997 Other 1597766
Ronald Philip O'hanley Director 1 Jul 1998 Other 4331592
Mbc Investments Corporation Shareholder 1 Jul 1998 25% - 50% 51-0301132
Nac Reinsurance Corporation Shareholder 1 Jul 1998 25% - 50% 13-1290712
Xl Reinsurance America Inc. Shareholder 1 Jul 1998 25% - 50% 13-1290712
Christopher V Greetham Director 1 Jun 1999 Other 4344230
Scott Francis Powers Director 1 Sep 2000 Other 1482612
Thomas Brennan Burke Director 1 Sep 2002 Other 2741639
Patrick James Sheppard Director 1 Sep 2002 Other 1779929
Jeffrey Alan Johnson Chief operating officer & chief financial officer 1 Sep 2003 Other 4347121
Vincent Russell Mcdonough Chief risk officer 1 Jan 2004 Other 4559134
Vincent Thomas Rowland Managing director 1 Feb 2004 Other 4347101
Leslie Charles Berthy Managing director 1 Feb 2004 Other 1565599
Frank Samuel Conde Director/chief investment strategist 1 Mar 2004 Other 4347126
James Gordon Evans Senior vice president & investment strategist 1 Mar 2004 Other 4627718
Douglas Clark Director/chief portfolio strategist 1 Jun 2005 Other 2843029
Marc Wallace Tollefson Chief investment officer 1 Nov 2006 Other 1629597
Vincent Thomas Rowland Managing director 1 Mar 2007 Other 4347101
Marc Wallace Tollefson Chief investment officer 1 Jul 2007 Other 1629597
Duane Irwin Castles Chairman & ceo 1 Jul 2007 25% - 50% 1364054
Blaine David Okelley Chief financial officer, chief administrative officer and chief compliance officer 1 Oct 2007 Other 1663586
Jeffrey Alan Johnson Director/executive vice president 1 Nov 2007 Other 4347121
Leslie Charles Berthy Managing director 1 Mar 2008 25% - 50% 1565599
Jeffrey Preston Bezos Shareholder 1 Apr 2008 Other 2119101
Lawrence Eugene Ventura Senior vice president, technology 1 Apr 2008 Other 5524590
Donald Layton Mcdonald Executive vice president 1 May 2009 Other 1301025
Donald Layton Mcdonald President 1 Mar 2010 Other 1301025
Duane Irwin Castles Chairman 1 Oct 2011 Other 1364054
Donald Layton Mcdonald President & ceo 1 Oct 2011 Other 1301025
Duane Irwin Castles Director 1 Nov 2011 25% - 50% 1364054
Donald Layton Mcdonald Chairman, president & ceo 1 Nov 2011 Other 1301025
Dennis Rastislav Klimes Senior vice president, marketing 1 Jan 2015 Other 2270322
Donald Layton Mcdonald Board member 1 Jul 2015 Other 1301025
Sun Life Financial (U.S.) Investments Llc Sole shareholder 1 Jul 2015 75% - 100% 04-3401283
Stephen C Peacher Board member 1 Jul 2015 Other 1567536
Scott Davis Board member 1 Jul 2015 Other 5026167
Randolph Brill Brown Board member 1 Apr 2018 Other 1399450
Steven C. Doire President 1 Apr 2018 Other 4498536
Marc Wallace Tollefson President 1 Dec 2018 Other 1629597

Indirect Owners

The SEC currently registers 9 indirect owners.

Name Entity Date acquired Ownership Employer ID
Mellon Financial Corporation Sharholder 1 Jul 1998 25% - 50% 25-1233834
Xl Captial Ltd. Shareholder 1 Jun 1999 25% - 50% foreign entity
Xl Capital Ltd. Shareholder 1 Jun 1999 25% - 50% foreign entity
Sun Life Financial Inc. Sole shareholder 1 Jul 2015 75% - 100% 98-0226074
Sun Life Global Investments Inc. Sole shareholder 1 Jul 2015 75% - 100% 98-0226074
Inc. Sun Life Assurance Company Of Canada U.S. Operations Holdings Sole shareholder 1 Jul 2015 75% - 100% 04-3401283
Inc. Sun Life Financial (U.S.) Holdings Sole shareholder 1 Jul 2015 75% - 100% 04-3579262
Inc. Sun Life Financial Holdings Sole shareholder 1 Jul 2015 75% - 100% 04-3401283
Sun Life 2007 1 Financing Corp Shareholder 1 Nov 2016 75% - 100% 98-0645594

Based in Redmond

The principal office where Prime Advisors Inc performs its advisory services is located at 22635 Ne Marketplace Drive, Redmond, WA 98053, which is also the mailing address of the firm. An additional office of the firm is in Windsor, CT. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 425-202-2000 or by fax 425-202-2001. The normal business hours are 6:30 am to 4:00 pm on Monday - Friday. You can find more information about the New York firm at primeadvisors.com/ and its LinkedIn profile.