Debra L. Wetherby
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CRD#: 1284222
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Debra Lee Wetherby, CFA, CFP® was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1985. Debra had worked at 5 firms and has passed the Series 63, Series 3, Series 15, Series 5 and Series 7 exams.
Biography
Deb Wetherby is founder and CEO of Wetherby Asset Management, an independent advisory firm dedicated to helping clients achieve their goals by providing exceptional investment management and wealth planning services. Deb and her team are committed to putting clients first, which guides the firm's decision making and culture and allows our team to build long-term, caring and trusted relationships with clients.<#CR#><#NL#><#CR#><#NL#>From the headquarters in San Francisco and office in New York, Deb and her team serve a diverse range of clients throughout the United States. By combining backgrounds in finance, investing, impact, accounting, law and financial planning, they have built a firm whose distinct mission and expert capacity is to serve each client through all of their unique financial needs. The firm has no in-house products, and actively avoids conflicts of interest. The service offered is unbiased advice. This attracts employees who want to build close client relationships and make great investments to meet client goals, and it attracts clients who want an independent partner to help guide them in financial decision-making. Wetherby Asset Management combines investment expertise with a culture of caring and passion to produce outstanding results.<#CR#><#NL#><#CR#><#NL#>Deb has over three decades of experience serving ultra-high-net worth individuals and families. Deb began her career as a Certified Public Accountant, working for Price Waterhouse in San Francisco in both its Audit and Management Consulting Departments. After she received her M.B.A., she joined Morgan Stanley and worked as a private client services broker for 3 years. After leaving the company to travel she decided to enter the investment advisory/wealth management business. Her experience at a small money management firm led Deb to create Wetherby Asset Management in 1990, inspired to create a new model that rewarded objectivity and results and eschewed the product and sales-driven culture present in most firms at that time. Deb made the decision to separate fees from investment recommendations, an atypical idea that has become the industry standard. While the firm has grown and expanded considerably since its founding, it has never deviated from its founding values centered on exceptional service. What Deb is most proud of is not the amount of money managed or profits —it’s her team, the firm's culture and how they care for clients.<#CR#><#NL#><#CR#><#NL#>Deb lives in the Bay Area where she enjoys spending time with my three children and three grandchildren. In her free time, she enjoys pottery, reading, hiking and skiing.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Tax Planning
Socially Responsible Investing
Investment Planning
Estate Planning
What is your minimum asset requirement?
10M
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1988
Experience
Past
September 3, 2003 - June 30, 2025
LNW
RIA
CRD#: 107341
SAN FRANCISCO, CA
Past
August 25, 1989 - February 28, 1990
FIRST AFFILIATED SECURITIES
BD
CRD#: 23737
Past
February 22, 1989 - August 25, 1989
PFG SECURITIES, INC.
BD
CRD#: 15401
Past
August 19, 1985 - July 8, 1988
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
Past
January 23, 1985 - August 29, 1985
U.S. CREDIT SECURITIES CORPORATION
BD
CRD#: 13220
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LN
LNW
KARETSKY/WETHERBY ASSET MANAGEMENT | WETHERBY ASSET MANAGEMENT LLC | WETHERBY ASSET MANAGEMENT | LNW | LAIRD NORTON WETHERBY WEALTH MANAGEMENT, LLC
CRD#: 107341 / SEC#: 801-36445
RIA
Registered Investment Advisory firm - (4/27/1990 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 4/9/1986
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 4/9/1986
Interest Rate Options ExaminationGeneral Industry/Product Exam
Current Firm
LN
LNW
KARETSKY/WETHERBY ASSET MANAGEMENT | WETHERBY ASSET MANAGEMENT LLC | WETHERBY ASSET MANAGEMENT | LNW | LAIRD NORTON WETHERBY WEALTH MANAGEMENT, LLC
CRD#: 107341 / SEC#: 801-36445
RIA
Registered Investment Advisory firm - (4/27/1990 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
801 Second Avenue, Suite 1600, Seattle, WA 98104
Mailing Address
Phone number
(206) 464-5100
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,068 |
| AUM (Assets Under Management) | $ 12,230,221,045 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/20/2024 | ||
| 01/25/2024 | ||
| 02/24/2023 |
Red Flags
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Company Information
LNW
Managing Partner, Wealth Manager, ShareholderCRD#: 107341TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
