LAWLEY RETIREMENT ADVISORS
LAWLEY RETIREMENT ADVISORS, LLC Legal Name
Adviser information for LAWLEY RETIREMENT ADVISORS last updated from Form ADV on March 24th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 154 | $1.7B |
| Total | 154 | $1.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $26.0M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 150 | $1.6B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Pension consulting servicesRETIREMENT PLAN SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-107260 |
|---|---|
| SEC ERA File Number | 801-107260 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282786 |
| Legal Entity Identifier | None |
Principal Office
361 DELAWARE AVENUEBUFFALO
NY
United States
Monday - Friday, 8:00 AM TO 4:30 PM
Tel: 716-849-8219, Fax: 716-849-8245
Websites
Chief Compliance Officer
JAMES J. REHAK, JR.
MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER
361 DELAWARE AVENUE
BUFFALO
NY
United States
Tel:
716-849-8219
Fax:
716-849-8245
J*****@*******************M
(Full email address available in API data)
Regulatory Contact
TODD M. TEVENS
MANAGING DIRECTOR
361 DELAWARE AVENUE
BUFFALO
NY
United States
Tel:
716-849-4366
Fax:
716-849-8245
T******@*******************M
(Full email address available in API data)
Industry Affiliates
| LAWLEY, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LAWLEY, LLC | Domestic Entity | – | OWNER | 01/2016 | > 75% |
| REHAK, JAMES, JOSEPH | Individual | – | MANAGING MEMBER, MANAGING DIRECTOR, AND CHIEF COMPLIANCE OFFICER | 01/2016 | < 5% |
| TEVENS, TODD, MICHAEL | Individual | – | MANAGING DIRECTOR | 01/2016 | < 5% |
| LAWLEY SERVICE, INC. | Domestic Entity | LAWLEY, LLC | MAJORITY OWNER | 01/2000 | 50-75% |