LOKKEN INVESTMENT GROUP, LLC
Adviser information for LOKKEN INVESTMENT GROUP, LLC last updated from Form ADV on March 8th, 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 | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,231 | $301.9M |
| Non-Discretionary | 0 | $0 |
| Total | 1,231 | $301.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 406 | $118.2M |
| HNW Individuals | 85 | $174.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $6.1M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 1 | $3.5M |
| 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 businessesPortfolio management for pooled investment vehiclesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
Principal Office
1413 SAVANNAH ROAD,SUITE 4
LEWES
DE
United States
Monday - Friday, 9:00 AM -4:30 PM
Tel: 302-645-6650, Fax: None
Websites
www.linkedin.com/in/sean-merlonghi-cfp%c2%ae-apma%c2%ae-49413816a/
www.youtube.com/channel/ucwos0wq0rfhm0tnu9jbqnfa/featured
www.linkedin.com/in/jay-middleton-413466234
www.lokkeninvest.com/
www.linkedin.com/in/jlokken
www.linkedin.com/in/carrie-ruark-897b4296/
www.facebook.com/lokkeninvest
www.linkedin.com/in/jessica-bimonte-415039114/
www.linkedin.com/in/evan-hine-crpc%c2%ae-471515153
www.linkedin.com/in/gabriela-caceres-53664229a/
www.linkedin.com/in/caitlin-murphy-178200239
Chief Compliance Officer
CARRIE RUARK
OPERATIONS MANAGER
1413 SAVANNAH RD
SUITE 4
LEWES
DE
United States
Tel:
302-645-6650
Fax:
302-645-6622
C*****@***************M
(Full email address available in API data)
Regulatory Contact
JONATHAN LOKKEN
MANAGING PRINCIPAL
1413 SAVANNAH RD
SUITE 4
LEWES
DE
United States
Tel:
302-645-6650
J******@***************M
(Full email address available in API data)
Industry Affiliates
| BIG OAK INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BIG OAK PARTNERS FUND, LP | Hedge Fund | $6.1M | $0.1M | 39 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LOKKEN, JONATHAN, LAWRENCE | Individual | – | MANAGING PRINCIPAL | 12/2008 | > 75% |
| RUARK, CARRIE, MAE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2020 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| LINDE PLC | SHS | 1M | 2K | – |
| AFLAC INC | COM | 290K | 3K | – |
| ABBOTT LABS | COM | 916K | 9K | – |
| ABBVIE INC | COM | 296K | 2K | – |
| ARQ INC | COM | 61K | 10K | – |
| ADVANCED MICRO DEVICES INC | COM | 289K | 2K | – |
| AIR PRODS & CHEMS INC | COM | 277K | 1K | – |
| ALPHABET INC | CAP STK CL C | 230K | 1K | – |
| ALPHABET INC | CAP STK CL A | 522K | 3K | – |
| AMAZON COM INC | COM | 767K | 4K | – |
| AMERICAN EAGLE OUTFITTERS IN | COM | 531K | 27K | – |
| AMERICAN TOWER CORP NEW | COM | 248K | 1K | – |
| AMERICAN WTR WKS CO INC NEW | COM | 969K | 8K | – |
| AMGEN INC | COM | 1M | 4K | – |
| ANNOVIS BIO INC | COM | 70K | 12K | – |
| APPLE INC | COM | 8M | 37K | – |
| AUTOMATIC DATA PROCESSING IN | COM | 219K | 917 | – |
| BANK AMERICA CORP | COM | 388K | 10K | – |
| BELPOINTE PREP LLC | UNIT RP LTD LB A | 207K | 4K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 2M | 4K | – |
| BLACKROCK INC | COM | 1M | 2K | – |
| BLACKROCK CR ALLOCATION INCO | COM | 110K | 10K | – |
| BLACKROCK MUNIYIELD QUALITY | COM | 142K | 14K | – |
| BLACKSTONE INC | COM | 877K | 7K | – |
| BOSTON OMAHA CORP | CL A COM STK | 403K | 30K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 215K | 5K | – |
| BROADCOM INC | COM | 2M | 1K | – |
| CALAMOS STRATEGIC TOTAL RETU | COM SH BEN INT | 226K | 13K | – |
| CAMPING WORLD HLDGS INC | CL A | 314K | 18K | – |
| CAPITOL SER TR | FAIRLEAD TACTICA | 2M | 60K | – |
| CATERPILLAR INC | COM | 259K | 779 | – |
| CHEVRON CORP NEW | COM | 555K | 4K | – |
| CISCO SYS INC | COM | 1M | 24K | – |
| COCA COLA CO | COM | 386K | 6K | – |
| COHEN & STEERS CLOSED-END OP | COM | 150K | 13K | – |
| COMCAST CORP NEW | CL A | 1M | 27K | – |
| DWS STRATEGIC MUN INCOME TR | COM | 108K | 11K | – |
| DEERE & CO | COM | 411K | 1K | – |
| DOW INC | COM | 234K | 4K | – |
| DUKE ENERGY CORP NEW | COM NEW | 235K | 2K | – |
| DUPONT DE NEMOURS INC | COM | 217K | 3K | – |
| EATON VANCE MUN BD FD | COM | 109K | 10K | – |
| ETHAN ALLEN INTERIORS INC | COM | 207K | 7K | – |
| EXXON MOBIL CORP | COM | 2M | 13K | – |
| FEDERAL RLTY INVT TR NEW | SH BEN INT NEW | 893K | 9K | – |
| FIDELITY MERRIMACK STR TR | TOTAL BD ETF | 5M | 117K | – |
| FIRST TR EXCHANGE-TRADED FD | CAP STRENGTH ETF | 4M | 45K | – |
| FIRST TR EXCHANGE-TRADED FD | SENIOR LN FD | 6M | 125K | – |
| FIRST TR EXCHANGE-TRADED FD | RBA INDL ETF | 4M | 52K | – |
| FIRST TR EXCH TRADED FD III | MUNI HI INCM ETF | 289K | 6K | – |
| HOME DEPOT INC | COM | 422K | 1K | – |
| HONEYWELL INTL INC | COM | 1M | 5K | – |
| ILLINOIS TOOL WKS INC | COM | 1M | 5K | – |
| INDEXIQ ACTIVE ETF TR | IQ MACKAY INTRME | 268K | 11K | – |
| INTEL CORP | COM | 370K | 12K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 394K | 2K | – |
| INVESCO QQQ TR | UNIT SER 1 | 2M | 5K | – |
| INVESCO EXCH TRADED FD TR II | NASDAQ 100 ETF | 224K | 1K | – |
| IRON MTN INC DEL | COM | 311K | 3K | – |
| ISHARES TR | CORE S&P500 ETF | 835K | 2K | – |
| ISHARES TR | CORE US AGGBD ET | 637K | 7K | – |
| ISHARES TR | S&P 500 GRWT ETF | 317K | 3K | – |
| ISHARES TR | 1 3 YR TREAS BD | 377K | 5K | – |
| ISHARES TR | MSCI EAFE ETF | 312K | 4K | – |
| ISHARES TR | ISHARES SEMICDTR | 2M | 7K | – |
| ISHARES TR | RUS 1000 VAL ETF | 229K | 1K | – |
| ISHARES TR | RUS 1000 GRW ETF | 328K | 901 | – |
| ISHARES TR | RUSSELL 3000 ETF | 2M | 7K | – |
| ISHARES TR | NATIONAL MUN ETF | 519K | 5K | – |
| ISHARES TR | EAFE GRWTH ETF | 295K | 3K | – |
| ISHARES TR | IBONDS 24 TRM TS | 2M | 90K | – |
| JPMORGAN CHASE & CO. | COM | 345K | 2K | – |
| J P MORGAN EXCHANGE TRADED F | INTRNL RES EQT | 2M | 33K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 1M | 19K | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 5M | 95K | – |
| JOHNSON & JOHNSON | COM | 2M | 14K | – |
| KAYNE ANDERSON ENERGY INFRST | COM | 409K | 40K | – |
| KOPIN CORP | COM | 198K | 236K | – |
| LIBERTY ALL STAR EQUITY FD | SH BEN INT | 128K | 19K | – |
| ELI LILLY & CO | COM | 4M | 4K | – |
| LOCKHEED MARTIN CORP | COM | 1M | 3K | – |
| LOWES COS INC | COM | 1M | 7K | – |
| MARATHON PETE CORP | COM | 957K | 6K | – |
| MARRIOTT INTL INC NEW | CL A | 770K | 3K | – |
| MCDONALDS CORP | COM | 513K | 2K | – |
| MICROSOFT CORP | COM | 6M | 13K | – |
| MORGAN STANLEY | COM NEW | 297K | 3K | – |
| NATIXIS ETF TR | GATEWAY QUALITY | 5M | 91K | – |
| NEXTERA ENERGY INC | COM | 2M | 23K | – |
| NORFOLK SOUTHN CORP | COM | 220K | 1K | – |
| NOVO-NORDISK A S | ADR | 327K | 2K | – |
| NUVEEN SELECT MAT MUN FD | SH BEN INT | 137K | 15K | – |
| NVIDIA CORPORATION | COM | 1M | 9K | – |
| ORACLE CORP | COM | 243K | 2K | – |
| PNC FINL SVCS GROUP INC | COM | 225K | 1K | – |
| PPG INDS INC | COM | 205K | 2K | – |
| PACER FDS TR | PACER US SMALL | 1M | 25K | – |
| PACER FDS TR | US CASH COWS 100 | 2M | 44K | – |
| PEPSICO INC | COM | 1M | 7K | – |
| PFIZER INC | COM | 611K | 22K | – |
| PHILLIPS 66 | COM | 1M | 8K | – |
| PIMCO ETF TR | COMMODITY STRAT | 2M | 80K | – |
| PIMCO ETF TR | MUNI INCOME OPP | 813K | 18K | – |
| PROCTER AND GAMBLE CO | COM | 2M | 11K | – |
| QUALCOMM INC | COM | 269K | 1K | – |
| RTX CORPORATION | COM | 300K | 3K | – |
| S&P GLOBAL INC | COM | 1M | 2K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 2M | 4K | – |
| SPDR GOLD TR | GOLD SHS | 8M | 35K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 2M | 26K | – |
| SSGA ACTIVE TR | SPDR SSGA US SCT | 3M | 52K | – |
| SALESFORCE INC | COM | 913K | 4K | – |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 3M | 41K | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 1M | 7K | – |
| SELECT SECTOR SPDR TR | FINANCIAL | 248K | 6K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 219K | 970 | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 826K | 12K | – |
| SOLO BRANDS INC | COM CL A | 114K | 50K | – |
| SOUTHERN CO | COM | 371K | 5K | – |
| STERLING INFRASTRUCTURE INC | COM | 613K | 5K | – |
| STRYKER CORPORATION | COM | 1M | 3K | – |
| SUNOPTA INC | COM | 548K | 101K | – |
| SURO CAPITAL CORP | COM NEW | 617K | 154K | – |
| TJX COS INC NEW | COM | 204K | 2K | – |
| TARGET CORP | COM | 1M | 8K | – |
| TEXAS INSTRS INC | COM | 1M | 6K | – |
| THOR INDS INC | COM | 261K | 3K | – |
| THORNBURG INCM BUILDER OPP T | COM | 795K | 49K | – |
| UMH PPTYS INC | COM | 626K | 39K | – |
| UNIFIED SER TR | BALLAST SMLMD CP | 5M | 143K | – |
| UNION PAC CORP | COM | 900K | 4K | – |
| UNITEDHEALTH GROUP INC | COM | 1M | 2K | – |
| VANECK ETF TRUST | FALLEN ANGEL HG | 805K | 28K | – |
| VANGUARD BD INDEX FDS | SHORT TRM BOND | 1M | 14K | – |
| VANGUARD WHITEHALL FDS | INTL DVD ETF | 360K | 4K | – |
| VANGUARD WORLD FD | INF TECH ETF | 299K | 518 | – |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 920K | 16K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 219K | 5K | – |
| VANGUARD SCOTTSDALE FDS | VNG RUS1000GRW | 586K | 6K | – |
| VANGUARD SCOTTSDALE FDS | VNG RUS1000VAL | 413K | 5K | – |
| VANGUARD MUN BD FDS | TAX EXEMPT BD | 821K | 16K | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 216K | 3K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 5M | 23K | – |
| VANGUARD INDEX FDS | EXTEND MKT ETF | 251K | 1K | – |
| VANGUARD INDEX FDS | GROWTH ETF | 15M | 40K | – |
| VANGUARD INDEX FDS | VALUE ETF | 18M | 111K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 9M | 41K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 6M | 21K | – |
| VERIZON COMMUNICATIONS INC | COM | 451K | 11K | – |
| WSFS FINL CORP | COM | 563K | 12K | – |
| WALMART INC | COM | 2M | 25K | – |