AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RS

Randy T. Siegel

ALETHEIAN WEALTH ADVISORS
Prescott, AZ
Some features on this profile are disabled
CRD#: 4320650
RS

Professional summary

Randy T Siegel, CFP®, CIMA® is a registered financial advisor currently at ALETHEIAN WEALTH ADVISORS LLC located in Prescott, Arizona.

Randy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Randy has worked at 5 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy T Siegel's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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®

Certified Financial Planner

Start date: 2007

CIMA®

Certified Investment Management Analyst

Experience

Current

August 9, 2019 - Present

ALETHEIAN WEALTH ADVISORS LLC

RIA
CRD#: 304623
Prescott, AZ
Past

October 22, 2018 - May 10, 2019

CORNERSTONE ADVISORS INC

RIA
CRD#: 110908
BELLEVUE, WA
Past

October 5, 2009 - May 19, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
BELLEVUE, WA
Past

October 5, 2009 - May 19, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
BELLEVUE, WA
Past

March 6, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
BELLEVUE, WA
Past

March 5, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
BELLEVUE, WA
Past

September 25, 2001 - April 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
BELLEVUE, WA
Past

January 26, 2001 - April 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
BELLEVUE, WA

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".
AW
ALETHEIAN WEALTH ADVISORS LLC
ALETHEIAN WEALTH ADVISORS LLC

CRD#: 304623 / SEC#: 801-121173

RIA
Registered Investment Advisory firm - (5/7/2021 Approved)
Texas
Registered Investment Advisory firm - (5/20/2021 Terminated)
Washington
Registered Investment Advisory firm - (6/22/2021 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Arizona
(1/22/2025)
IAR
Washington
(8/9/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/9/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/2/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 8/17/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/25/2001
General Securities Representative Examination

Current Firm

AW
ALETHEIAN WEALTH ADVISORS LLC
ALETHEIAN WEALTH ADVISORS LLC

CRD#: 304623 / SEC#: 801-121173

RIA
Registered Investment Advisory firm - (5/7/2021 Approved)
Texas
Registered Investment Advisory firm - (5/20/2021 Terminated)
Washington
Registered Investment Advisory firm - (6/22/2021 Terminated)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
777 108th Ave Ne Suite 2250, Bellevue, WA 98004
Mailing Address
Phone number
(425) 458-2840
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A- ALETHEIAN WEALTH ADVISORS LLC (2/5/2026)

Regulatory assets under management

Total Number of Accounts546
AUM (Assets Under Management)$ 412,522,414

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
04/22/2024
Cover Page
Report
05/24/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ALETHEIAN WEALTH ADVISORS LLC

CRD#: 304623Prescott, AZ

TRUST BUT VERIFY

Monitor Randy Siegel

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.