NATIONAL INVESTMENT SERVICES OF AMERICA, LLC
Adviser information for NATIONAL INVESTMENT SERVICES OF AMERICA, LLC last updated from Form ADV on March 29th, 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 | 35 |
|---|---|
| Investment Advisory/Research | 14 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 13 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 313 | $9.8B |
| Non-Discretionary | 0 | $0 |
| Total | 313 | $9.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 13 | $29.9M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $6.0M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 11 | $419.5M |
| Pension and profit sharing plans | 216 | $8.1B |
| Charitable organizations | 48 | $660.5M |
| State or municipal gov entities | 19 | $450.0M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 5 | $165.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-118132 |
|---|---|
| SEC ERA File Number | 801-118132 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 307169 |
| Legal Entity Identifier | 254900JWMRLQ3TUNRI02 |
Principal Office
777 EAST WISCONSIN AVENUE, SUITE 2350MILWAUKEE
WI
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 414.765.1980, Fax: 414.765.1998
Chief Compliance Officer
NATALIE ABBOTT
P.O. BOX 253
CHAMPLIN
MN
United States
Tel:
612-860-8620
N*************@************************M
(Full email address available in API data)
Regulatory Contact
SCOTT VAN LITH
CFO
777 E. WISCONSIN AVE.
SUITE 2350
MILWAUKEE
WI
United States
Tel:
414-765-1980
Fax:
414-765-1998
S*******@*******T
(Full email address available in API data)
Industry Affiliates
| AMERICAN BEACON ADVISORS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| AMERICAN PRIVATE EQUITY MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RESOLUTE INVESTMENT DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RSW INVESTMENTS | Other investment adviser, including financial planners |
| SHAPIRO CAPITAL MANAGEMENT LLC | Other investment adviser, including financial planners |
| SSI INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| NIS CORE FIXED INCOME FUND, LLC | CORE FIXED INCOME | $1,205.3M | $0.3M | 48 |
| NIS CORE FIXED INCOME QP FUND, LLC | CORE FIXED INCOME | $1,242.6M | $1.0M | 26 |
| NIS HIGH YIELD FUND, LLC | FIXED INCOME FUND - HIGH YIELD SECTOR | $172.8M | $0.0M | 80 |
| NIS HIGH YIELD QP FUND, LLC | FIXED INCOME FUND - HIGH YIELD SECTOR | $108.8M | $1.0M | 37 |
| NIS INTERMEDIATE FIXED INCOME FUND, LLC | INTERMEDIATE FIXED INCOME FUND | $1,056.1M | $0.3M | 57 |
| NIS INTERMEDIATE FIXED INCOME QP FUND, LLC | INTERMEDIATE FIXED INCOME | $245.7M | $1.0M | 16 |
| NIS PREFERRED STOCK FUND II, LLC | Hedge Fund | $319.8M | $0.3M | 55 |
| NIS PREFERRED STOCK QP FUND, LLC | Hedge Fund | $26.5M | $1.0M | 10 |
| NIS SHORT DURATION HIGH YIELD FUND, LLC | SHORT DURATION HIGH YIELD FIXED INCOME | $47.6M | $1.0M | 4 |
| NIS TOTAL ABSOLUTE RETURN FUND, LLC | Hedge Fund | $498.8M | $1.0M | 87 |
| NIS TOTAL ABSOUTE RETURN QP FUND, LLC | Hedge Fund | $87.5M | $1.0M | 30 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BROOKS, ROBERT, PATRICK | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2019 | < 5% |
| SIDLER, NORMAN, EDWARD | Individual | – | PRINCIPAL, MANAGING PARTNER | 12/2019 | < 5% |
| MCCARTIN, BARTLETT, JOSEPH | Individual | – | PRINCIPAL, MANAGING PARTNER | 12/2019 | < 5% |
| FREMGEN, JOHN, P | Individual | – | PRINCIPAL, MANAGING PARTNER | 12/2019 | < 5% |
| VAN LITH, SCOTT, ORILE | Individual | – | CHIEF FINANCIAL OFFICER | 12/2019 | < 5% |
| ANDERSON, MARK, ROBERT | Individual | – | CHIEF STRATEGY OFFICER | 12/2019 | < 5% |
| BERRIE, JASON, CHRISTOPHER | Individual | – | CHIEF INVESTMENT OFFICER | 10/2020 | < 5% |
| NIS HOLDING CORPORATION | Domestic Entity | – | DIRECT OWNER | 12/2019 | 25-50% |
| RESOLUTE INVESTMENT MANAGERS, INC. | Domestic Entity | – | DIRECT OWNER | 12/2019 | 50-75% |
| RINGDAHL, JEFFREY, KARL | Individual | – | DIRECTOR | 12/2019 | < 5% |
| RESOLUTE ACQUISITION, INC. | Domestic Entity | RESOLUTE INVESTMENT MANAGERS, INC. | SHAREHOLDER | 12/2019 | > 75% |
| RESOLUTE TOPCO, INC. | Domestic Entity | RESOLUTE ACQUISITION, INC. | SHAREHOLDER | 12/2019 | > 75% |
| ABBOTT, NATALIE, KAY | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2022 | < 5% |
| Harris, Rebecca, Lynn | Individual | – | DIRECTOR | 04/2022 | < 5% |