Dick Lam

Northwest Investment Advisors, INC

56 Years of Experience

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Firm Information

Northwest Investment Advisors, INC

Compensation

Fee-Only (AUM)Fixed/Hourly

Number of Advisors

9 advisors

Number of Clients

95 clients

Average Client Portfolio

$371K average

Assets Under Management

$35.3M

Fee Structure

Financial Planning:Investment management only

Mr. Grubb works as a registered representative and is licensed to sell life insurance, long-term care, and fixed annuities on a commission basis. He may also receive 12(b)-1 trail or service fees from Mutual Fund companies.

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Areas of Practice

Investment ManagementInsurance Planning

Advisor Information

Office location

2099 Lake Street, San Francisco, CA, 94121

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Regulatory History (3)

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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.