Diogenes Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$10,541,549
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
25
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
25
TypicalAverage account size
$421,662
About
Diogenes Financial LLC provides discretionary portfolio management and hourly financial consulting primarily for individuals and individual retirement accounts, and it also accepts engagements with small businesses and retirement plans. Services described in the brochure include asset-based portfolio management, retirement and cash-flow planning, small-business financial consultations, and a one-time "aquatic consultation" offered for clients who prefer an outdoor meeting format.
The firm builds personalized portfolios using fundamental, cyclical, and technical analysis and accommodates ESG or other client-imposed restrictions, managing stocks, bonds, ETFs and select derivative instruments. The brochure discloses the use of equity options (including short puts and covered calls) for income and hedging, and it highlights ERISA fiduciary responsibilities and the specific risks and leverage implications associated with derivative strategies.
Compared with many solo independent advisers, Diogenes Financial combines a small, boutique scale—roughly $10.6 million in AUM and about two dozen clients—with a broader client mix that explicitly includes small businesses and retirement-plan clients. The firm’s operating practices described in the brochure — quarterly asset-fee billing, custodial relationships that provide soft-dollar research and trading services, and documented code-of-ethics and trade-allocation policies — frame how it implements customized and sometimes leveraged strategies for a concentrated client base.
Client services
Financial planning
Portfolio management
Expertise
ESG / Sustainable investing
Active portfolio management
Options & derivatives strategies
Tax-loss harvesting
Occupation focus
Self-Employed
Founder/Business Owner
Demographic focus
Values-based investing
Fee options
$350 flat one-time fee for aquatic consultations
$170 per hour for hourly billable services; $160 per hour for small business consultations
Minimum fee: $250 annually minimum fee for managed portfolios ($62.50 billed quarterly)
Main office location
Diogenes Financial LLC
Seattle WA, United States
Number of offices
1
Most active in
Diogenes Financial LLC has reported serving >5 clients in these states in the last 12 months.
Hawaii · Washington
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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