SIKICH FINANCIAL
SIKICH CAPITAL MANAGEMENT LLC Legal Name
Adviser information for SIKICH FINANCIAL 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 | Delaware, United States |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 19 |
| Registered Broker-Dealer Representatives | 9 |
| Registered State Investment Advisers | 19 |
| 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 | 2,095 | $744.6M |
| Non-Discretionary | 46 | $4.4M |
| Total | 2,141 | $749.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 862 | $377.6M |
| HNW Individuals | 149 | $317.2M |
| 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 | 25 | $48.6M |
| 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 | 15 | $5.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 78 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 54.9M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ENVESTNET, WMP | TRIAD ADVISORS, LLC |
Identifiers
| SEC RIA File Number | 801-110142 |
|---|---|
| SEC ERA File Number | 801-110142 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 142640 |
| Legal Entity Identifier | None |
Principal Office
3051 HOLLIS DRIVE3RD FLOOR
SPRINGFIELD
IL
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 217-862-1843, Fax: 217-862-3116
Websites
Chief Compliance Officer
BARRY STARK
CHIEF COMPLIANCE OFFICER
1415 W DIEHL ROAD
SUITE 400
NAPERVILLE
IL
United States
Tel:
630-566-8571
Fax:
312-883-6242
B*****@*********M
(Full email address available in API data)
Regulatory Contact
CRISTIAN NOGALO
LEGAL AND COMPLIANCE ASSOCIATE
1415 W. DIEHL ROAD
SUITE 400
NAPERVILLE
IL
United States
Tel:
708-528-2747
Fax:
630-375-8805
C**********@*********M
(Full email address available in API data)
Industry Affiliates
| SIKICH CORPORATE FINANCE LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SIKICH INSURANCE GROUP LLC | Insurance company or agency |
| SIKICH LLP | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SIKICH LLP | Domestic Entity | – | SOLE MEMBER | 11/2006 | > 75% |
| PAONI, ROBERT, ANDREW | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2017 | < 5% |
| STARK, BARRY, CRAIG | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2016 | < 5% |