Brian R. Mcauley

SITKA PACIFIC CAPITAL MANAGEMENT

Seattle, WA 98104

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CRD#: 4937688

Professional summary

Brian Richard Mcauley is a registered financial advisor currently at SITKA PACIFIC CAPITAL MANAGEMENT, LLC located in Seattle, Washington and EAGLE HARBOR ASSET MANAGEMENT, INC. located in Bainbridge Is, Washington.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Brian has worked at 2 firms and has passed the Series 65 exam.

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 Brian Richard Mcauley'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®

None

Experience

Current

April 10, 2015 - Present

SITKA PACIFIC CAPITAL MANAGEMENT, LLC

Office #1: 701 Fifth Ave Suite 4200, Seattle, WA 98104

RIA

CRD#: 134699

Seattle, WA

Current

August 17, 2023 - Present

EAGLE HARBOR ASSET MANAGEMENT, INC.

RIA

CRD#: 108089

Bainbridge Is, WA

Past

May 17, 2005 - December 31, 2014

SITKA PACIFIC CAPITAL MANAGEMENT, LLC

RIA

CRD#: 134699

EDMONDS, 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".

EAGLE HARBOR ASSET MANAGEMENT, INC.

EAGLE HARBOR ASSET MANAGEMENT INC | EAGLE HARBOR ASSET MANAGEMENT, INC.

CRD#: 108089 / SEC#: 801-121335

RIA

Registered Investment Advisory firm - (5/28/2021 Approved)

Washington

Registered Investment Advisory firm - (7/8/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(4/10/2015)

IAR

Washington
(4/26/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/26/2005

Uniform Investment Adviser Law Examination

Current Firm

EAGLE HARBOR ASSET MANAGEMENT, INC.

EAGLE HARBOR ASSET MANAGEMENT INC | EAGLE HARBOR ASSET MANAGEMENT, INC.

CRD#: 108089 / SEC#: 801-121335

RIA

Registered Investment Advisory firm - (5/28/2021 Approved)

Washington

Registered Investment Advisory firm - (7/8/2021 Terminated)

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Contact information

Main Address

Bainbridge Is, WA

Mailing Address

701 Fifth Avenue #4200, Seattle, WA 98104

Phone number

(206) 300-1423

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRIAN MCAULEY ADV PART 2B NOVEMBER 2023 (2/12/2025)

ADV PART 2B TURLOFF MAR 2024 (2/12/2025)

ADV PART 2B ANDREW LOECHL, CFA FEB 2025 (2/12/2025)

ADV PART 2A FEB 2025 (2/12/2025)

Regulatory assets under management

Total Number of Accounts	188
AUM (Assets Under Management)	$ 139,621,353

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.

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Brian R. Mcauley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Richard Mcauley's CRS (Customer Relationship Summary).

Certified licenses

Experience

SITKA PACIFIC CAPITAL MANAGEMENT, LLC

EAGLE HARBOR ASSET MANAGEMENT, INC.

SITKA PACIFIC CAPITAL MANAGEMENT, LLC

Primary Firm SEC Registration

EAGLE HARBOR ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/26/2005

Current Firm

EAGLE HARBOR ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EAGLE HARBOR ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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