3rd Creek Investments provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.
3rd Creek Investments reports 108 clients. They include 58 individual clients, 42 high-net-worth individuals and 8 charitable organizations. Of its assets, 89.7% ($184M across 344 accounts) are managed with discretion; $21.2M across 92 accounts are not. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 54% | 10% |
| High-net-worth individuals | 39% | 72% |
| Pension and profit-sharing plans | Fewer than 5 | <1% |
| Charitable organizations | 7% | 18% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 58 | $19.5M | 9.5% | $337K |
| High-net-worth individuals | 42 | $147M | 71.6% | $3.49M |
| Pension and profit-sharing plans | Fewer than 5 | $91.1K | 0.0% | — |
| Charitable organizations | 8 | $37.4M | 18.2% | $4.67M |
| Corporations and other businesses | Fewer than 5 | $1.19M | 0.6% | — |
| Total | 108 | $205M | 100% | — |
- Clients
- 58
- Regulatory AUM
- $19.5M
- AUM share
- 9.5%
- Avg. per client
- $337K
- Clients
- 42
- Regulatory AUM
- $147M
- AUM share
- 71.6%
- Avg. per client
- $3.49M
- Clients
- Fewer than 5
- Regulatory AUM
- $91.1K
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 8
- Regulatory AUM
- $37.4M
- AUM share
- 18.2%
- Avg. per client
- $4.67M
- Clients
- Fewer than 5
- Regulatory AUM
- $1.19M
- AUM share
- 0.6%
- Avg. per client
- —
Total
- Clients
- 108
- Regulatory AUM
- $205M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
3rd Creek Investments charges up to 1.00% a year for its Core Investment Advisory Services. The fee is negotiable.
Fee details and sources
Dave Straley owns 75% or more of 3rd Creek Investments. The leadership team of 3rd Creek Investments includes President Dave Straley and Chief Compliance Officer Gwen Straley. It has 4 employees.
Leadership
- Dave StraleyPresident
- Gwen StraleyInvestment Advisor Representative / Chief Compliance Officer
- Harris KirschnerInvestment Advisor Representative
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
Staff
- 4 employees
- 4 in advisory functions
- 4 state-registered reps
- Owns 75% or more of 3rd Creek Investments, Inc.
Dave Straley
Control person · since September 2001
3rd Creek Investments’ regulatory assets grew 1.8× from $114M (July 2021) to $205M (January 2026); clients rose from 91 to 108 and employees from 3 to 4.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Jan 2026January 2026 | $205M | 108 | 4 | 1 |
| May 2025May 2025 | $162M | 83 | 3 | 1 |
| Jan 2024January 2024 | $129M | 82 | 3 | 1 |
| Jan 2023January 2023 | $112M | 78 | 3 | 1 |
| Jun 2022June 2022 | $132M | 78 | 3 | 1 |
| Jul 2021July 2021 | $114M | 91 | 3 | 1 |
Besides its headquarters, 3rd Creek Investments has 0 offices, with 1 listed address with no US state reported.
Other business names
3rd Creek Investments has reported 2 other business names to the SEC.
- 3rd Creek
- Third Creek Investments
Contact and registration details
- Legal name
- 3rd Creek Investments, Inc.
- Headquarters
- Not reported
- Website
- 3rdcreek.com
- Phone
- 775-832-9222
- SEC file
- 801-120802
- Structure
- Nevada corporation
- Fiscal year end
- December
3rd Creek Investments’ named custodian for separately managed accounts is Charles Schwab ($180M). 3rd Creek Investments has custody of $4.05M for 1 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $180M100%
At year end, 3rd Creek Investments’ separately managed accounts were mostly in funds (74%) and stocks (23%).
What the accounts hold
- Stocks23%
- Exchange-traded equities13%
- Non-exchange-traded equities10%
- Funds74%
- Cash3%
How many clients does 3rd Creek Investments have?
3rd Creek Investments has 108 clients and manages $205 million for them, as of January 2026. They include 58 individual clients, 42 high-net-worth individuals and 8 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 23 January 2026
What services does 3rd Creek Investments offer?
3rd Creek Investments provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does 3rd Creek Investments charge?
3rd Creek Investments charges up to 1.00% a year for its Core Investment Advisory Services. The fee is negotiable.
Which custodians does 3rd Creek Investments use?
3rd Creek Investments’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $180M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 January 2026
How many financial advisors does 3rd Creek Investments have?
3rd Creek Investments has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does 3rd Creek Investments invest in?
At the end of its last fiscal year, 3rd Creek Investments’ separately managed accounts held 74% registered funds (mutual funds, ETFs, BDCs), 13% exchange-traded equities, 10% non-exchange-traded equities and 3% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns 3rd Creek Investments?
3rd Creek Investments’ direct owner is Dave Straley (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 23 January 2026
How does 3rd Creek Investments get paid?
3rd Creek Investments is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact 3rd Creek Investments?
Its phone number is 775-832-9222. Its website is 3rdcreek.com.