MARSHALL INVESTMENT MANAGEMENT, LLC
Adviser information for MARSHALL INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 13th, 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 | Colorado, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 954 | $221.6M |
| Non-Discretionary | 0 | $0 |
| Total | 954 | $221.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 331 | $65.1M |
| HNW Individuals | 229 | $155.9M |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $208,732 |
| 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 | <5 | $469,944 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 6 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 220.9M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ADVISOR MANAGED PORTFOLIOS | MARSHALL INVESTMENT MANAGEMENT, LLC |
Identifiers
| SEC RIA File Number | 801-117304 |
|---|---|
| SEC ERA File Number | 801-117304 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 174817 |
| Legal Entity Identifier | None |
Principal Office
10822 W. TOLLER DRIVESUITE 195
LITTLETON
CO
United States
Monday - Friday, 8:00 TO 4:00PM
Tel: 303-991-6415, Fax: 303-479-7211
Chief Compliance Officer
SHARON EVANS
CHIEF COMPLIANCE OFFICER
10822 W. TOLLER DRIVE
SUITE 195
LITTLETON
CO
United States
Tel:
303-991-6415
Fax:
303-479-7211
S*****@*********************M
(Full email address available in API data)
Regulatory Contact
DENNIS MARSHALL
PRESIDENT
10822 W. TOLLER DRIVE
SUITE 195
LITTLETON
CO
United States
Tel:
303-991-6415
Fax:
303-479-7211
D*****@*********************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 |
|---|---|---|---|---|---|
| MARSHALL, DENNIS, EDWARD | Individual | – | OWNER, PRESIDENT | 01/2015 | > 75% |
| EVANS, SHARON, JOY | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2015 | 5-10% |
| SCHOENFELDER, KRISTIN, LYNN | Individual | – | INVESTMENT MANAGER & VICE PRESIDENT | 01/2019 | 10-25% |