Koenig Investment Advisory provides financial planning, portfolio management for individuals and small businesses, pension consulting, publishing newsletters, education planning, estate planning, and tax planning.
Koenig Investment Advisory reports 293 clients. They include 179 individual clients and 114 high-net-worth individuals. Of its assets, 100.0% ($258M across 599 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 61% | 17% |
| High-net-worth individuals | 39% | 82% |
| Pension and profit-sharing plans | Fewer than 5 | <1% |
| Charitable organizations | Fewer than 5 | <1% |
| 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) | 179 | $43.7M | 16.9% | $244K |
| High-net-worth individuals | 114 | $212M | 82.1% | $1.86M |
| Pension and profit-sharing plans | Fewer than 5 | $829K | 0.3% | — |
| Charitable organizations | Fewer than 5 | $1.08M | 0.4% | — |
| Corporations and other businesses | Fewer than 5 | $669K | 0.3% | — |
| Total | 293 | $258M | 100% | — |
- Clients
- 179
- Regulatory AUM
- $43.7M
- AUM share
- 16.9%
- Avg. per client
- $244K
- Clients
- 114
- Regulatory AUM
- $212M
- AUM share
- 82.1%
- Avg. per client
- $1.86M
- Clients
- Fewer than 5
- Regulatory AUM
- $829K
- AUM share
- 0.3%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $1.08M
- AUM share
- 0.4%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $669K
- AUM share
- 0.3%
- Avg. per client
- —
Total
- Clients
- 293
- Regulatory AUM
- $258M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Koenig Investment Advisory charges 0.50%–1.00% a year for its Description of Advisory Fees. The fee is billed in arrears and requires an account of at least $250,000. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Employer-based plan households
- Households in an employer-based plan with more than $2 million in assets pay a flat 0.5% fee. Other plan accounts are billed at the standard schedule.
Jeffrey McCullough owns 75% or more of Koenig Investment Advisory. The leadership team of Koenig Investment Advisory includes Chief Compliance Officer Lorrie Anne Miller. It has 3 employees.
Leadership
- Lorrie Anne MillerInvestment Advisor Representative; Chief Compliance Officer
- Jeffrey McCulloughPrincipal; Investment Advisor Representative
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
- Jeffrey L McCullough
- Lorrie Anne Miller
- Hugo R Sanchez II
Staff
- 3 employees
- 3 in advisory functions
- 3 state-registered reps
- Owns 75% or more of Koenig Investment Advisory, LLC
Jeffrey McCullough
Control person · since October 2020
Koenig Investment Advisory’s regulatory assets grew from $200M (April 2021) to $258M (February 2026); clients rose from 238 to 293 and employees were 3 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| February 2026 | $258M | 293 | 3 | 1 |
| January 2025 | $241M | 305 | 3 | 1 |
| January 2024 | $226M | 330 | 3 | 1 |
| June 2023 | $193M | 337 | 3 | 1 |
| January 2022 | $214M | 318 | 4 | 1 |
| April 2021 | $200M | 238 | 3 | 1 |
Besides its headquarters, Koenig Investment Advisory has 0 offices, with 1 listed address in Oregon.
Oregon · 1 listed address
- 739 N Main Street, AshlandHQ
Contact and registration details
- Legal name
- Koenig Investment Advisory, LLC
- Headquarters
- 739 N Main Street, Ashland, OR 97520
- Website
- koeniginvestment.com
- Phone
- 541-608-0551
- @koenig-investment-advisory
- SEC file
- 801-119834
- Founded
- 2020
- Structure
- Oregon LLC
- Fiscal year end
- December
Koenig Investment Advisory uses Charles Schwab ($256M) as custodian for its separately managed accounts. Koenig Investment Advisory has custody of $93.9M in client assets for 220 clients.
- Charles SchwabCharles Schwab Investment Advisory, Inc. · Omaha, NE · $256M100%
At year end, Koenig Investment Advisory’s separately managed accounts were mostly in funds (83%) and stocks (12%). Its reported 13F holdings for the quarter ended 30 June 2026 total $129M across 37 positions; the largest are American Century Focused Large Cap Value ETF (14.5%), iShares MSCI USA Min Vol Factor ETF (11.2%) and Vanguard Mid-cap ETF (10.3%).
What the accounts hold
- Stocks12%
- Funds83%
- Cash5%
Reported 13F holdings
- $129M
- Reported 13F value
- 37
- Positions
- 80.1%
- In the 10 largest
- +9.3%
- Value vs. prior quarter
- American Century Focused Large Cap Value ETFETF14.5%
- iShares MSCI USA Min Vol Factor ETFETF11.2%
- Vanguard Mid-cap ETFETF10.3%
- iShares Core U.S. Aggregate Bond ETFETF8.3%
- iShares MSCI Intl Quality Factor ETFETF8.2%
- Pimco Enhanced Short Maturity Active ETFETF7.5%
- State Street SPDR S&P Dividend ETFETF6.2%
- Microsoft Corp.5.8%
- Vanguard S&P 500 ETFETF5.6%
- Metlife Inc.2.5%
Together, the ten largest are 80.1% of reported value.
How many clients does Koenig Investment Advisory have?
Koenig Investment Advisory has 293 clients and manages $258 million for them, as of February 2026. They include 179 individual clients and 114 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 2 February 2026
What services does Koenig Investment Advisory offer?
Koenig Investment Advisory provides financial planning, portfolio management for individuals and small businesses, pension consulting, publishing newsletters, education planning, estate planning, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Koenig Investment Advisory charge?
Koenig Investment Advisory charges 0.50%–1.00% a year for its Description of Advisory Fees. The fee is billed in arrears and requires an account of at least $250,000.
Which custodians does Koenig Investment Advisory use?
Koenig Investment Advisory’s separately managed account assets are held at Charles Schwab Investment Advisory, Inc. (Omaha, NE), with $256M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 February 2026
How many financial advisors does Koenig Investment Advisory have?
Koenig Investment Advisory has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 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 Koenig Investment Advisory invest in?
At the end of its last fiscal year, Koenig Investment Advisory’s separately managed accounts held 83% registered funds (mutual funds, ETFs, BDCs), 12% exchange-traded equities and 5% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Koenig Investment Advisory have a minimum investment?
Yes, Koenig Investment Advisory’s minimum account size for its Description of Advisory Fees is $250K.
Who owns Koenig Investment Advisory?
Koenig Investment Advisory’s direct owner is Jeffrey McCullough (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 2 February 2026
How does Koenig Investment Advisory get paid?
Koenig Investment Advisory is paid through a percentage of assets under management. 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
Is Koenig Investment Advisory registered with the SEC?
Yes, Koenig Investment Advisory has been registered with the SEC as an investment adviser since 20 November 2020. Its CRD number is 311422 and its SEC file number is 801-119834.
Source: Form ADV Part 1A, Item 1, filed 2 February 2026; IAPD firm record
How do I contact Koenig Investment Advisory?
Koenig Investment Advisory’s main office is at 739 N Main Street, Ashland, OR 97520. Its phone number is 541-608-0551. Its website is koeniginvestment.com.