MONORAIL SECURITIES LLC
Adviser information for MONORAIL SECURITIES LLC last updated from Form ADV on March 27th, 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 | Florida, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 386 | $146,815 |
| Total | 386 | $146,815 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 386 | $146,815 |
| 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 | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 870 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMSubscription fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 3.0M |
| Portfolio Manager | 3.0M |
| Both for Same | 3.0M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| VIMVEST SECURITIES, LLC | VIMVEST SECURITIES, LLC |
Identifiers
| SEC RIA File Number | 801-108517 |
|---|---|
| SEC ERA File Number | 801-108517 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285309 |
| Legal Entity Identifier | None |
Principal Office
3322 BEE RIDGE RDSARASOTA
FL
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: (941) 925-2121, Fax: (941) 925-2228
Websites
Chief Compliance Officer
GERY SADZEWICZ
CHIEF COMPLIANCE OFFICER
5205 BROOKSHIRE ESTATES DRIVE
5205
PLAINFIELD
IL
United States
Tel:
815-782-1250
G***@*************************M
(Full email address available in API data)
Regulatory Contact
PHILLIP DICKSON
MANAGING MEMBER
3322 BEE RIDGE RD
SARASOTA
FL
United States
Tel:
(941) 925-2121
Fax:
(941) 925-2228
P*******@***********M
(Full email address available in API data)
Industry Affiliates
| HD MONEY, INC. | Other investment adviser, including financial planners |
| VIMVEST HOLDINGS | Other investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HIXON, MARGARET, RUCKER | Individual | – | MEMBER | 06/2016 | < 5% |
| DICKSON, STUART, KENNETH | Individual | – | MANAGING MEMBER | 06/2016 | < 5% |
| DICKSON, PHILLIP, BRUCE | Individual | – | MANAGING MEMBER | 06/2016 | < 5% |
| Bailey, Justin | Individual | – | CTO AND MEMBER | 06/2016 | < 5% |
| VIMVEST HOLDINGS, LLC | Domestic Entity | – | OWNER | 11/2017 | > 75% |
| DICKSON, PHILLIP, BRUCE | Individual | VIMVEST HOLDINGS, LLC | OWNER | 11/2017 | 25-50% |
| DICKSON, STUART, KENNETH | Individual | VIMVEST HOLDINGS, LLC | OWNER | 11/2017 | 25-50% |
| HIXON, MARGARET, RUCKER | Individual | VIMVEST HOLDINGS, LLC | OWNER | 11/2017 | 25-50% |
| SADZEWICZ, GERY, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2021 | < 5% |
| KENNEDY, MARK, JOSEPH | Individual | VIMVEST HOLDINGS, LLC | ELECTED MANAGER | 11/2017 | |
| WARREN, BRIAN | Individual | VIMVEST HOLDINGS, LLC | ELECTED MANAGER | 11/2017 | |
| Bailey, Justin | Individual | VIMVEST HOLDINGS, LLC | ELECTED MANAGER | 11/2017 |