Dick Lam

Northwest Investment Advisors, INC

56 Years of Experience

3 DisclosuresBroker

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Areas of Practice

Investment ManagementInsurance Planning

Northwest Investment Advisors, INC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

9 advisors

Number of Clients

95 clients

Average Client Portfolio

$371K average

Assets Under Management

$35.3M

Location

2099 Lake Street, San Francisco, CA, 94121

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History

Regulatory History (3)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Regulatory

November 1997

Final

Employment Separation After Allegations

April 1989

Customer Dispute

March 1986

Award / Judgment

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Other Business Activities

Dick is the President of Lam Securities, a registered broker dealer and advisory firm, and is transitioning it to an institutional-only firm. He dedicates about 10-20% of his time to Lam Securities, primarily for administrative tasks and prospecting.