VAN LEEUWEN RETIREMENT & INVESTMENT SERVICES
VAN LEEUWEN & ASSOCIATES, INC. Legal Name
Adviser information for VAN LEEUWEN RETIREMENT & INVESTMENT SERVICES last updated from Form ADV on February 17th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Kentucky, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 2 |
| 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 | 981 | $378.3M |
| Non-Discretionary | 0 | $0 |
| Total | 981 | $378.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 469 | $161.1M |
| HNW Individuals | 108 | $206.1M |
| 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 | 4 | $11.1M |
| Charitable organizations | 1 | $44,492 |
| 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 | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 378.3M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| VAN LEEUWEN RETIREMENT & INVESTMENT SERVICES WRAP FEE PROGRAM | VAN LEEUWEN RETIREMENT & INVESTMENT SERVICES |
Identifiers
| SEC RIA File Number | 801-111092 |
|---|---|
| SEC ERA File Number | 801-111092 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289463 |
| Legal Entity Identifier | None |
Principal Office
808 WEST MAIN STREETRICHMOND
KY
United States
Monday - Friday, 8:00 - 4:30
Tel: (859) 626-3400, Fax: (859) 626-3467
Chief Compliance Officer
MARK D. VAN LEEUWEN
PRESIDENT
808 WEST MAIN STREET
RICHMOND
KY
United States
Tel:
(859) 626-3400
Fax:
(859) 626-3467
M**************@******M
(Full email address available in API data)
Regulatory Contact
KRISTOFFER D. ARNOLD
INVESTMENT ADVISER REPRESENTATIVE
808 WEST MAIN STREET
RICHMOND
KY
United States
Tel:
(859) 626-3400
Fax:
(859) 626-3467
K****************@******M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| VANLEEUWEN, MARK, DENNIS | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 07/2017 | > 75% |
| ARNOLD, KRISTOFFER, DOUGLAS | Individual | – | INVESTMENT ADVISOR REPRESENTATIVE, ALTERNATE REGULATORY CONTACT | 07/2017 | 10-25% |
| Van Leeuwen, Julia, A | Individual | – | SHAREHOLDER | 04/2020 | < 5% |
| Van Leeuwen, Sarah, M | Individual | – | SHAREHOLDER | 04/2020 | < 5% |
| Van Leeuwen, Mark, A | Individual | – | SHAREHOLDER | 04/2020 | < 5% |