Niva WealthLet’s talk

Erika Yelle

Chief Compliance Officer at Coldstream Capital Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
7
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Erika Yelle is Chief Compliance Officer of Coldstream Capital Management Inc, a Bellevue investment adviser managing $13.9B. Erika Yelle has a current broker registration and no current investment-adviser registration and has passed 7 licensing exams.

Role at Coldstream Capital Management

Title on Schedule A
Chief Compliance Officer
Control
Erika Yelle is a control person of Coldstream Capital Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Erika Yelle has held the filed role since March 2004.

The firm

Coldstream Capital Management Inc
Bellevue, WA

Form ADV filed 19 August 2026

$13.9B AUM4,386 clients166 advisers10 offices

Career on record

Firms and exams, newest first
  1. Passed Series 14 and Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 27 · 2002
  4. Passed Series 24 · 2000
  5. Passed Series 7 and Series 63 · 1992

Registrations and exams

Broker registration; no current adviser registration. Erika Yelle has passed 7 qualifying exams.

Examinations

Series 6326 August 1992
Name
Uniform Securities Agent State Law Examination
Series 142 January 2023
Name
Compliance Officer Examination
Series 2725 June 2002
Name
Financial and Operations Principal Examination
Series 2431 July 2000
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 714 August 1992
Name
General Securities Representative Examination

Individual record

Full name
Erika Eng Yelle
CRD
1632625
Firm
Coldstream Capital Management Inc
Registration status
Broker registration; no current adviser registration
Firm bio
coldstream.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Coldstream identifies Erika Yelle as Chief Compliance Officer and lists a bachelor’s degree in Business Administration from the University of Washington. Official Coldstream team biography

Education

Common questions

Where does Erika Yelle work?

Erika Yelle has been Chief Compliance Officer of Coldstream Capital Management Inc since March 2004, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 19 August 2026

Does Erika Yelle have a current investment-adviser registration?

Erika Yelle has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Erika Yelle passed?

Erika Yelle has passed 7 licensing exams: the Series 7, Series 63, Series 24, Series 27, SIE, Series 14 and Series 99TO. The earliest, the Series 7, was passed in August 1992.

Source: IAPD individual record, checked 17 October 2026

Leadership at Coldstream Capital Management

Sources

  1. IAPD individual record, CRD 1632625. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Coldstream Capital Management Inc, filed 19 August 2026. Title, control and ownership bands.
  3. Coldstream Capital Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Erika Yelle or Coldstream Capital Management Inc and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.