Joshua R. Betts

ALETHEIAN WEALTH ADVISORS LLC

Bellevue, WA 98004

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CRD#: 5174698

Professional summary

Joshua Ray Betts, CFA, CFP®, who also goes by Josh Betts, is a registered financial advisor currently at ALETHEIAN WEALTH ADVISORS LLC located in Bellevue, Washington.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Joshua has worked at 7 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Josh Betts

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.

Increased shareholder dividend distributions in future for increased profitability of company.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Ray Betts'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®

CFA

Chartered Financial Analyst

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

August 27, 2019 - Present

ALETHEIAN WEALTH ADVISORS LLC

Office #1: 777 108th Ave Ne Suite 2250, Bellevue, WA 98004

RIA

CRD#: 304623

Bellevue, WA

Past

March 22, 2016 - January 4, 2019

CORNERSTONE ADVISORS INC

RIA

CRD#: 110908

BELLEVUE, WA

Past

November 4, 2015 - March 24, 2016

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SEATTLE, WA

Past

November 3, 2015 - March 24, 2016

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SEATTLE, WA

Past

August 13, 2014 - October 15, 2015

WINDHAVEN INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 155138

BELLVUE, WA

Past

May 29, 2007 - August 27, 2008

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

GENEVA, IL

Past

September 18, 2006 - June 1, 2007

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

MANCHESTER, MA

Past

July 13, 2006 - September 18, 2006

ALPS DISTRIBUTORS, INC.

CRD#: 16853

WHEATON, IL

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".

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)

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

Washington
(8/27/2019)

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

Series 63

Date: 11/10/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/2/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/24/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/4/2015

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- ALETHEIAN WEALTH ADVISORS LLC (1/10/2025)

Regulatory assets under management

Total Number of Accounts	519
AUM (Assets Under Management)	$ 338,290,305

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

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Advisor Monitoring

Firm Stability Insights

Joshua R. Betts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Ray Betts's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORNERSTONE ADVISORS INC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

WINDHAVEN INVESTMENT MANAGEMENT, INC.

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

INVESCO DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC.

Primary Firm SEC Registration

ALETHEIAN WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/10/2015

Series 66

Date: 7/2/2007

SIE

Date: 3/24/2016

Series 7

Date: 11/4/2015

Current Firm

ALETHEIAN WEALTH ADVISORS LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALETHEIAN WEALTH ADVISORS LLC

TRUST BUT VERIFY

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