LAKEWOOD ASSET MANAGEMENT, LLC
Adviser information for LAKEWOOD ASSET MANAGEMENT, LLC last updated from Form ADV on February 14th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 313 | $191.2M |
| Non-Discretionary | 15 | $17.2M |
| Total | 328 | $208.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 77 | $17.3M |
| HNW Individuals | 67 | $190.1M |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $1.0M |
| 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 | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-113632 |
|---|---|
| SEC ERA File Number | 801-113632 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 174887 |
| Legal Entity Identifier | None |
Principal Office
225 W JEFFERSON AVENUE, SUITE 102NAPERVILLE
IL
United States
Monday - Friday, 8:00AM-4:00PM
Tel: 312-543-1772, Fax: None
Websites
Chief Compliance Officer
TODD MICK
CCO
225 W JEFFERSON AVE SUITE 102
NAPERVILLE
IL
United States
Tel:
3125431772
T*******@****************M
(Full email address available in API data)
Regulatory Contact
CATHERINE LANNAN
6814 E RIVERSIDE DR
#72
AUSTIN
TX
United States
Tel:
7086747500
C********@****************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 |
|---|---|---|---|---|---|
| MICK, TODD, J | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2015 | < 5% |
| GREENVIEW LLC | Domestic Entity | – | MEMBER | 02/2015 | 25-50% |
| DEERWOOD ASSET MANAGEMENT LLC | Domestic Entity | – | MEMBER | 11/2015 | 25-50% |
| SECURUS INVESTMENT MANAGEMENT LLC | Domestic Entity | – | MEMBER | 02/2018 | 25-50% |
| MICK, TODD, J | Individual | GREENVIEW LLC | SOLE MEMBER | 02/2015 | > 75% |
| CALL, BROOKS, JASON | Individual | DEERWOOD ASSET MANAGEMENT LLC | SOLE MEMBER | 11/2015 | > 75% |
| LANNAN, MICHAEL, JOSEPH | Individual | SECURUS INVESTMENT MANAGEMENT LLC | SOLE MEMBER | 02/2018 | > 75% |