Viceroy Investment Advisors LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$34,800,000
Clients
24
63% 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
24
TypicalAverage account size
$1,450,000
About
Viceroy provides investment advisory and financial planning services to individuals and the entities those individuals establish as part of their overall financial plans. The firm offers ongoing discretionary and non-discretionary portfolio management along with project-based financial advisory on insurance, estate, retirement and tax-related topics.
The firm limits client investments to U.S. exchange-traded securities and generally constructs portfolios using co-mingled 40 Act funds (mutual funds, ETFs, closed-end funds), while also employing REITs, BDCs or individual securities when appropriate. Investment decisions weigh fundamental attributes, underlying collateral and portfolio role, and the brochure frames risk across three layers—Viceroy Risk, Vehicle Risk and Security Risk—to describe potential loss exposures.
Viceroy manages a modest asset base for a limited number of clients and operates a compact advisory model, offering standalone project engagements and assessing potential profitability before taking on new relationships. Notable features include an SLOA custody arrangement covering $5.5 million across four clients, the firm’s principal holding both CFA and CFP credentials and maintaining a part‑time commercial real estate activity (about five hours per week), and reliance on Schwab Advisor Services for custody and institutional support.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
General estate planning guidance
General retirement planning
Fee options
$1,500 paid in arrears for project services
0.75% per annum on portfolio values for discretionary assets
Main office location
Viceroy Investment Advisors LLC
2906 Colby Avenue, Suite 108
Everett WA 98201, United States
Number of offices
1
Most active in
Viceroy Investment Advisors LLC has reported serving >5 clients in these states in the last 12 months.
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.
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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.
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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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