LOCKSHIELD PARTNERS, INC.
Adviser information for LOCKSHIELD PARTNERS, INC. last updated from Form ADV on February 27th, 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 | 7 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 0 | $0 |
| Non-Discretionary | 968 | $200.9M |
| Total | 968 | $200.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 893 | $150.1M |
| HNW Individuals | 30 | $45.9M |
| 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 | <5 | $167,221 |
| Charitable organizations | <5 | $230,390 |
| 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 | <5 | $4.5M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 8 |
| 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 clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-116877 |
|---|---|
| SEC ERA File Number | 801-116877 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 175433 |
| Legal Entity Identifier | None |
Principal Office
301 SOUTH BROADWAYGLASGOW
KY
United States
Monday - Friday, 8AM - 4PM
Tel: 270-629-2046, Fax: 270-629-2049
Chief Compliance Officer
DANIEL J. KLEIN
MANAGING MEMBER
301 SOUTH BROADWAY
GLASGOW
KY
United States
Tel:
270-629-2046
Fax:
270-629-2049
D**@*********************M
(Full email address available in API data)
Regulatory Contact
JODI WALDEN
OPERATIONS MANAGER
301 SOUTH BROADWAY
GLASGOW
KY
United States
Tel:
270-629-2046
Fax:
270-629-2049
J***@*********************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 |
|---|---|---|---|---|---|
| KLEIN, DANIEL, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER/MANAGING MEMBER | 03/2015 | > 75% |