PARKSIDE INVESTMENTS, LLC

Adviser information for PARKSIDE INVESTMENTS, LLC last updated from Form ADV on March 21st, 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 Illinois, United States

Employees

Total Number of Employees 7
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 518 $800.1M
Non-Discretionary 123 $362.7M
Total 641 $1.2B

Clients

Type Number RAUM
Individuals 48 $16.0M
HNW Individuals 148 $692.0M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 2 $47.7M
Pension and profit sharing plans <5 $32.3M
Charitable organizations <5 $388,846
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 <5 $11.7M
Other 24 $362.7M
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMPerformance-based fees

Identifiers

SEC RIA File Number 801-108826
SEC ERA File Number 801-108826
SEC CIK Numbers 1706248
SEC CRD Numbers 286178
Legal Entity Identifier None

Principal Office

570 LAKE COOK ROAD
SUITE 100
DEERFIELD
IL
United States
Monday - Friday, 8:00AM-4:00PM
Tel: (312) 778-7700, Fax: (312) 778-7701

Chief Compliance Officer

DAWN KEACH
PRINCIPAL
570 LAKE COOK ROAD
SUITE 100
DEERFIELD
IL
United States
Tel: (312) 778-7700
Fax: (312) 778-7701
(Full email address available in API data)

Regulatory Contact

ALAN COLE
MANAGER AND PRESIDENT
570 LAKE COOK ROAD
SUITE 100
DEERFIELD
IL
United States
Tel: (312) 778-7700
Fax: (312) 778-7701
(Full email address available in API data)

Industry Affiliates

PARKSIDE COVERED CALL FUND GP, LLC Sponsor, GP, manager of pooled investment vehicles
PARKSIDE VPS FUND GP, LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
PARKSIDE COVERED CALL FUND, LP POOLED INVESTMENT FUND $33.1M $0.5M 42
PARKSIDE VPS FUND, LP POOLED INVESTMENT FUND $14.6M $0.2M 40

Control Persons

Name Type Entity Title Since Ownership
COLE, ALAN, (NMN) Individual MANAGER, PRESIDENT 07/2016 50-75%
KEACH, DAWN, HENDERSON Individual CHIEF COMPLIANCE OFFICER 04/2018 < 5%
ENGELMAN, CHRISTOPHER, IRVING Individual MANAGING DIRECTOR 01/2020 25-50%

No. Employees, Historic

105020192020202120222023202420257 on 4/29/20197 on 1/15/20207 on 2/12/20207 on 6/1/20207 on 3/17/20218 on 4/8/20218 on 7/13/20218 on 7/13/20218 on 3/22/20228 on 9/7/20228 on 9/7/20227 on 3/23/20237 on 3/23/20237 on 3/23/20237 on 7/21/20237 on 11/8/20237 on 3/21/2024

RAUM, Historic

2B1B02019202020212022202320242025528814423 on 4/29/2019528814423 on 1/15/2020649063055 on 2/12/2020649063055 on 6/1/2020706873043 on 3/17/2021706873043 on 4/8/2021796159419 on 7/13/2021796159419 on 7/13/20211009664363 on 3/22/20221009664363 on 9/7/20221009664363 on 9/7/2022914344425 on 3/23/2023914344425 on 3/23/2023914344425 on 3/23/2023914344425 on 7/21/2023914344425 on 11/8/20231162779128 on 3/21/2024

No. Clients, Historic

30015002019202020212022202320242025147 on 4/29/2019147 on 1/15/2020169 on 2/12/2020169 on 6/1/2020176 on 3/17/2021176 on 4/8/2021180 on 7/13/2021180 on 7/13/2021188 on 3/22/2022188 on 9/7/2022188 on 9/7/2022197 on 3/23/2023197 on 3/23/2023197 on 3/23/2023197 on 7/21/2023197 on 11/8/2023222 on 3/21/2024

Holdings

From latest 13F, filed July 10th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABORATORIES Stock 623K 6K
ADVANCED MICRO DEVICES INC COM Stock 3M 18K
AIR LEASE CORP CL A Stock 9M 193K
ALBERTSONS COS INC COMMON STOCK Stock 209K 11K
ALPHABET INC CAP STK CL A Stock 419K 2K
ALPHABET INC CAP STK CL C Stock 15M 83K
AMARIN CORP PLC SPONS ADR NEW ADR 7K 11K
AMAZON COM INC COM Stock 14M 72K
AMERICAN EXPRESS CO Stock 810K 4K
APPLE INC COM Stock 11M 54K
APTIV PLC SHS Stock 7M 101K
ATLANTIC UN BANKSHARES CORP COM Stock 261K 8K
BANK OF AMERICA Stock 1M 28K
BEYOND Stock 320K 25K
BLACKROCK INC Stock 1M 1K
BORGWARNER INC COM Stock 6M 195K
BROADCOM INC COM Stock 282K 176
BROOKFIELD CORP CL A LTD VT SH Stock 9M 211K
BUNGE GLOBAL SA COM SHS Stock 4M 41K
CAPITAL GROUP GROWTH ETF ETF 3M 80K
CAVA GROUP INC Stock 742K 8K
CF INDS HLDGS INC COM Stock 7M 94K
CHARLES SCHWAB CORP Stock 442K 6K
CHEVRON CORP NEW COM Stock 2M 10K
CITIGROUP INC COM NEW Stock 8M 123K
CME GROUP INC COM Stock 1M 5K
CONOCOPHILLIPS COM Stock 12M 106K
CORNING INC COM Stock 7M 171K
COSTCO WHSL CORP NEW COM Stock 381K 448
CVS HEALTH CORP COM Stock 8M 128K
DEVON ENERGY CORP NEW COM Stock 10M 204K
DIAMONDBACK ENERGY INC Stock 601K 3K
DISNEY WALT CO COM Stock 9M 90K
DOUBLELINE INCOME SOLUTIONS FD COM CEF 150K 12K
ELEMENT SOLUTIONS INC COM Stock 11M 391K
EOG RES INC COM Stock 8M 67K
EQT CORP Stock 370K 10K
FEDEX CORP COM Stock 9M 29K
FIRST TRUST RBA AMERICAN INDUSTRIAL RENAISSANCE ETF ETF 5M 79K
FREEPORT-MCMORAN INC CL B Stock 12M 256K
GLOBAL X URANIUM ETF ETF 10M 356K
HEALTH CARE SELECT SECTOR SPDR FUND ETF 10M 69K
IAC INC COM NEW Stock 10M 209K
INNOVATOR U.S. EQUITY POWER BUFFER ETF - JANUARY ETF 591K 15K
INTUITIVE SURGICAL INC COM NEW Stock 400K 900
INVESCO ENERGY EXPLORATION & PRODUCTION ETF ETF 6M 190K
INVESCO S&P 500 EQUAL WEIGHT ETF ETF 4M 26K
ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF ETF 36M 696K
ISHARES CORE MSCI EAFE ETF ETF 26M 359K
ISHARES CORE MSCI EMERGING MARKETS ETF ETF 806K 15K
ISHARES CORE S&P 500 ETF ETF 46M 84K
ISHARES CORE S&P SMALL CAP ETF ETF 821K 8K
ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF ETF 2M 15K
ISHARES GOLD TRUST ETF 11M 253K
ISHARES MBS ETF ETF 19M 208K
ISHARES MSCI EMERGING MARKETS EX CHINA ETF ETF 17M 285K
ISHARES NATIONAL MUNI BOND ETF ETF 16M 150K
ISHARES PREFERRED & INCOME SECURITIES ETF ETF 11M 346K
ISHARES RUSSELL 2000 ETF ETF 63M 312K
ISHARES SHORT-TERM NATIONAL MUNI BOND ETF ETF 4M 36K
JPMORGAN CHASE & CO. COM Stock 596K 3K
JPMORGAN ULTRA-SHORT INCOME ETF ETF 19M 371K
KAYNE ANDERSON MLP CEF 369K 36K
MEDTRONIC PLC SHS Stock 291K 4K
MICROSOFT CORP COM Stock 10M 23K
MORGAN STANLEY Stock 972K 10K
NETFLIX INC Stock 810K 1K
NEXTERA ENERGY INC COM Stock 8M 119K
NVIDIA CORPORATION COM Stock 1M 12K
PALO ALTO NETWORKS INC Stock 915K 3K
PELOTON INTERACTIVE INC CL A COM Stock 156K 46K
RTX CORP Stock 402K 4K
SOFI TECHNOLOGIES INC COM Stock 5M 791K
SOUTHERN CO COM Stock 3M 45K
SPDR BARCLAYS SHORT TERM MUNI BOND ETF ETF 2M 34K
SPDR NUVEEN BLOOMBERG HIGH YIELD MUNICIPAL BOND ETF ETF 10M 409K
SPDR OIL & GAS E&P ETF ETF 549K 4K
SPDR S&P 500 ETF TRUST ETF 4M 7K
SPDR S&P BIOTECH ETF ETF 11M 118K
SPDR S&P REGIONAL BANKING ETF ETF 10M 194K
TECHNOLOGY SELECT SECTOR SPDR FUND ETF 7M 31K
THERMO FISHER SCIENTIFIC INC COM Stock 8M 14K
UNION PAC CORP COM Stock 11M 48K
UNITEDHEALTH GROUP INC COM Stock 2M 3K
UTILITIES SELECT SECTOR SPDR FUND ETF 2M 30K
VANECK AGRIBUSINESS ETF ETF 9M 126K
VANGUARD FTSE EMERGING MARKETS ETF ETF 825K 19K
VANGUARD TOTAL STOCK MARKET ETF ETF 1M 5K
WALMART INC COM Stock 10M 145K
WARNER BROS DISCOVERY INC COM SER A Stock 3M 443K