Diogenes Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$10,515,252
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
25
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
25
TypicalAverage account size
$420,610
About
Diogenes Financial LLC primarily serves individual investors and individual retirement accounts while also providing services to small businesses and retirement plan clients. The firm offers discretionary portfolio management and hourly financial consultations covering retirement planning, cash and debt management, employee benefits, tax strategy, and estate and education planning.
The adviser builds personalized portfolios using fundamental, cyclical, and technical analysis and typically invests in stocks, bonds and exchange‑traded funds, with the firm disclosing use of certain derivative securities such as equity options. Portfolios can be customized for ESG exclusions and tax-aware tactics, and DF may implement options strategies (short puts, covered calls), tax‑loss harvesting and, for a de minimis number of clients, limited foreign‑exchange advice.
Several features distinguish Diogenes from many solo independent advisers: it explicitly uses derivatives and options strategies in client accounts, provides ERISA‑fiduciary services to retirement plans and consulting to small businesses, and offers an unconventional “aquatic consultation” option where clients may discuss financial matters while surfing. The firm also recommends custodians such as Interactive Brokers and discloses receipt of soft‑dollar research and platform benefits from its custodian relationships.
Client services
Financial planning
Portfolio management
Expertise
ESG / Sustainable investing
Options & derivatives strategies
Tax-loss harvesting
Cash flow / budgeting
Retirement income strategy
Occupation focus
Self-Employed
Founder/Business Owner
Demographic focus
Values-based investing
Fee options
$350 for aquatic consultations
$170 per hour for hourly billable services; $160 per hour for small business consultations
Minimum fee: $250 minimum per year ($62.50 billed quarterly)
Main office location
Diogenes Financial LLC
Seattle WA, United States
Number of offices
1
Most active in
Diogenes Financial LLC has reported serving >5 clients in these states in the last 12 months.
Hawaii · Washington
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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