{"url":"https://nivawealth.com/firms/koenig-investment-advisory-311422","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/311422","regulatoryAum":258181429,"crd":"311422","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5357489","suffix":null,"lastName":"MCCULLOUGH","firstName":"JEFFREY","middleName":"L"},{"crd":"5296122","suffix":null,"lastName":"MILLER","firstName":"LORRIE ANNE","middleName":null},{"crd":"6983224","suffix":"II","lastName":"Sanchez","firstName":"Hugo","middleName":"R"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-04-30","regulatoryAum":199781708,"clients":238,"employees":3,"offices":1},{"filedOn":"2022-01-27","regulatoryAum":214032937,"clients":318,"employees":4,"offices":1},{"filedOn":"2023-06-14","regulatoryAum":192528325,"clients":337,"employees":3,"offices":1},{"filedOn":"2024-01-22","regulatoryAum":226163831,"clients":330,"employees":3,"offices":1},{"filedOn":"2025-01-28","regulatoryAum":240549891,"clients":305,"employees":3,"offices":1},{"filedOn":"2026-02-02","regulatoryAum":258181429,"clients":293,"employees":3,"offices":1}],"secFileNumber":"801-119834","legalName":"Koenig Investment Advisory, LLC","displayName":"Koenig Investment Advisory","slug":"koenig-investment-advisory-311422","website":"https://koeniginvestment.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/311422/945965af433a296c-r1.webp","tone":"light","width":664,"height":200,"sourceUrl":"https://koeniginvestment.com/","sourceLabel":"Koenig Investment Advisory, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/koenig-investment-advisory","founded":"2020","organization":"Oregon limited liability company","fiscalYearEnd":"December","headquarters":{"street":"739 N Main Street","city":"Ashland","state":"OR","stateName":"Oregon","country":"United States","postalCode":"97520"},"tradeNames":[],"registration":{"secApproved":"20 November 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":872362.4436860068,"staff":{"employees":3,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":258181429,"discretionary":258181429,"discretionaryAccounts":599,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":179,"regulatoryAum":43733703},{"label":"High-net-worth individuals","clients":114,"regulatoryAum":211868493},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":829195},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":1080942},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":669096}],"feePrograms":[{"role":"main","program":"Description of Advisory Fees","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1005585","versionId":1005585,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-02-02","documentName":"FORM ADV PART 2A","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":null,"minimum_account":250000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Employer-based plan households","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1005585","versionId":1005585,"submittedOn":"2026-02-02","documentName":"FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:46:50.066563+00:00","documents":[{"name":"FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1005585","versionId":1005585,"submittedOn":"2026-02-02"}]},"custodians":[{"name":"Charles Schwab Investment Advisory, Inc.","shortName":"Charles Schwab","location":"Omaha, NE","smaAssets":256237809}],"custodyNote":"Koenig Investment Advisory has custody of $93.9M in client assets for 220 clients.","leadership":[{"name":"Lorrie Anne Miller","title":"Investment Advisor Representative; Chief Compliance Officer","crd":"5296122"},{"name":"Jeffrey McCullough","title":"Principal; Investment Advisor Representative","crd":"5357489"}],"ownership":[{"label":"Jeffrey McCullough","detail":"Principal; investment advisor representative in the 75% or more ownership band and a control person, since October 2020."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Oregon","offices":1,"addresses":[{"street":"739 N Main Street","city":"Ashland","headquarters":true}]}],"brochureServices":["education planning","estate planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"541-608-0551","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Publication of periodicals or newsletters"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":12},{"label":"Securities issued by registered investment companies or business development companies","percent":83},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"2 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/311422/PDF/311422.pdf","brochureDate":"2 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1005585","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Koenig Investment Advisory have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Koenig Investment Advisory offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Koenig Investment Advisory charge?","answer":"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.","source":"FORM ADV PART 2A, filed 2 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Koenig Investment Advisory use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Koenig Investment Advisory have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Koenig Investment Advisory invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Koenig Investment Advisory have a minimum investment?","answer":"Yes, Koenig Investment Advisory’s minimum account size for its Description of Advisory Fees is $250K.","source":"FORM ADV PART 2A, filed 2 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Koenig Investment Advisory?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Koenig Investment Advisory get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Koenig Investment Advisory registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Koenig Investment Advisory?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 2 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/koenig-investment-advisory-311422/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-16","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2114481/000211448126000003/0002114481-26-000003-index.html","totalValue":128730170,"positionCount":37,"top10Share":0.8012746506898888,"top10":[{"issuer":"AMERICAN CENTURY FOCUSED LARGE CAP VALUE ETF","titleOfClass":"ETF","cusip":"025072794","value":18681965,"shares":229790,"shareType":"SH","priorValue":15702086,"priorShares":204760},{"issuer":"ISHARES MSCI USA MIN VOL FACTOR ETF","titleOfClass":"ETF","cusip":"46429B697","value":14479907,"shares":150113,"shareType":"SH","priorValue":13839755,"priorShares":149232},{"issuer":"VANGUARD MID-CAP 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}