Nelson Securities,inc. provides portfolio management for individuals and small businesses and publishing newsletters.
Nelson Securities,inc. reports 2,003 clients. They include 1,996 individuals and 7 corporations and other businesses. Of its assets, 91.6% ($295M across 1,866 accounts) are managed with discretion; $27M across 140 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 100% | 99% |
| Pension and profit-sharing plans | Fewer than 5 | <1% |
| Charitable organizations | Fewer than 5 | <1% |
| Corporations and other businesses | <1% | <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) | 1,996 | $319M | 99.1% | $160K |
| Pension and profit-sharing plans | Fewer than 5 | $829K | 0.3% | — |
| Charitable organizations | Fewer than 5 | $358K | 0.1% | — |
| Corporations and other businesses | 7 | $1.73M | 0.5% | $247K |
| Total | 2,003 | $322M | 100% | — |
- Clients
- 1,996
- Regulatory AUM
- $319M
- AUM share
- 99.1%
- Avg. per client
- $160K
- Clients
- Fewer than 5
- Regulatory AUM
- $829K
- AUM share
- 0.3%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $358K
- AUM share
- 0.1%
- Avg. per client
- —
- Clients
- 7
- Regulatory AUM
- $1.73M
- AUM share
- 0.5%
- Avg. per client
- $247K
Total
- Clients
- 2,003
- Regulatory AUM
- $322M
- 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
Nelson Securities,inc. is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Robert Owen Jr Nelson owns 75% or more of Nelson Securities,inc.. The leadership team of Nelson Securities,inc. includes President Robert Owen Jr Nelson and Chief Compliance Officer Shyla Suzanne Gibson. It has 15 employees, 9 of them in advisory roles.
Leadership
- Robert Owen Jr NelsonPresident, CEO
- Shyla Suzanne GibsonChief Compliance Officer
- Patrick Kevin DonahueTreasurer, CFO
Investment adviser representatives
9 representatives listed in the SEC register as of 9 October 2026.
- Arealous Clayton Earthman
- Carmel Bequia Exum
- Enrique Maldonado Garcia JR
- Steven Thomas Keller
- Jeffery Scott Miller
- Robert Owen Nelson JR
- Scott Patrick Newman
- Russell Raymond Price
- David Allen Vose
Staff
- 15 employees
- 9 in advisory functions
- 9 state-registered reps
- 11 broker-dealer reps
- 7 insurance agents
- Owns 75% or more of Nelson Securities,inc.
Robert Owen Jr Nelson
Control person · since May 2017
Nelson Securities,inc.’s regulatory assets grew 2.0× from $160M (August 2020) to $322M (September 2026); clients rose from 1,870 to 2,003 and employees were 15 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| September 2026 | $322M | 2,003 | 15 | 2 |
| July 2025 | $272M | 2,023 | 15 | 2 |
| September 2023 | $213M | 2,049 | 15 | 2 |
| July 2022 | $186M | 2,022 | 15 | 2 |
| August 2020 | $160M | 1,870 | 15 | 3 |
Besides its headquarters, Nelson Securities,inc. has 1 office, with 2 listed addresses in California and Washington.
California · 1 listed address
- 12555 High Bluff Drive, San Diego
Washington · 1 listed address
- 7307 N. Division St., Suite 220, SpokaneHQ
Contact and registration details
- Legal name
- Nelson Securities,inc.
- Headquarters
- 7307 N. Division St., Suite 220, Spokane, WA 99208
- Website
- nelsonsecurities.com
- Phone
- 509-838-1313
- SEC file
- 801-41346
- Structure
- Washington corporation
- Fiscal year end
- June
Nelson Securities,inc. uses Charles Schwab ($213M) as custodian for its separately managed accounts. Nelson Securities,inc. does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $213M100%
At year end, Nelson Securities,inc.’s separately managed accounts were mostly in stocks (95%).
What the accounts hold
- Stocks95%
- Funds3%
- Cash2%
How many clients does Nelson Securities,inc. have?
Nelson Securities,inc. has 2,003 clients and manages $322 million for them, as of September 2026. They include 1,996 individuals and 7 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 5 September 2026
What services does Nelson Securities,inc. offer?
Nelson Securities,inc. provides portfolio management for individuals and small businesses and publishing newsletters.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Nelson Securities,inc. use?
Nelson Securities,inc.’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $213M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 September 2026
How many financial advisors does Nelson Securities,inc. have?
Nelson Securities,inc. has 9 investment adviser representatives registered with state securities authorities, out of 15 employees, and 9 perform investment advisory functions. 11 employees are registered representatives of a broker-dealer and 7 employees are 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 Nelson Securities,inc. invest in?
At the end of its last fiscal year, Nelson Securities,inc.’s separately managed accounts held 95% exchange-traded equities, 3% registered funds (mutual funds, ETFs, BDCs) and 2% 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 Nelson Securities,inc.?
Nelson Securities,inc.’s direct owner is Robert Owen Jr Nelson (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 5 September 2026
How does Nelson Securities,inc. get paid?
Nelson Securities,inc. 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
How do I contact Nelson Securities,inc.?
Nelson Securities,inc.’s main office is at 7307 N. Division St., Suite 220, Spokane, WA 99208. Its phone number is 509-838-1313. Its website is nelsonsecurities.com.