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DIRECTIONAL FINANCIAL SERVICES
Legal name: DIRECTIONAL FINANCIAL SERVICES, LLC
CRD 171903File 801-79954
APPROVED
Retail clients
Custody
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$11.5M
Bottom 25% of cohort (national)
Discretionary AUM
$11.5M
Clients
34
34 accounts
Employees
4
Bottom 25% of cohort in WA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Jun 27, 2014
- Principal office
- 1420 5TH AVE, SUITE 3150, SEATTLE, WA, 98101
- Phone
- 206-508-3240
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $11.5M
- Discretionary AUM
- $11.5M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 34
- Non-discretionary accounts
- 0
- Total accounts
- 34
- AUM per client
- $337K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 34 | $11.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 43 | 34 | decreased by9 |
| Apr 1, 2026 | AUM | $9,048,005 | $11,450,102 | increased by$2,402,097 |
| Apr 1, 2026 | Accounts | 90 | 34 | decreased by56 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 8 | 4 | decreased by4 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 39 | 43 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $8,234,705 | $9,048,005 | increased by$813,300 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 79 | 90 | increased by11 |
| Apr 1, 2022 | Employees | 9 | 8 | decreased by1 |
| Apr 1, 2022 | Clients | 43 | 39 | decreased by4 |
| Apr 1, 2022 | AUM | $9,029,790 | $8,234,705 | decreased by$795,085 |
| Apr 1, 2022 | Accounts | 78 | 79 | increased by1 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “DIRECTIONAL FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“DIRECTIONAL FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.