Hedge Fund Database

LEVERTY FINANCIAL GROUP, LLC

Adviser information for LEVERTY FINANCIAL GROUP, LLC last updated from Form ADV on March 15th, 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 8
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 6
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,039 $479.9M
Non-Discretionary 100 $1.3M
Total 2,139 $481.3M

Clients

Type Number RAUM
Individuals 362 $122.3M
HNW Individuals 197 $356.7M
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 $247,349
Charitable organizations <5 $1.3M
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 $731,488
Other 0 $0
Type Number
No. of Non-RAUM Clients 18
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 563

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-119342
SEC ERA File Number 801-119342
SEC CIK Numbers 1908386
SEC CRD Numbers 310258
Legal Entity Identifier None

Principal Office

201 2ND STREET SOUTH
HUDSON
WI
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 715-377-2080, Fax: None

Websites

www.facebook.com/levertyfinancial/ www.linkedin.com/company/leverty-financial-group www.levertyfinancial.com www.linkedin.com/in/luke-keene/ www.linkedin.com/in/josh-hawkins-cfp%c2%ae-chfc%c2%ae-ricp%c2%ae-cap%c2%ae-wmcp%c2%ae-aep%c2%ae-41633128/ www.linkedin.com/in/michael-leverty/

Chief Compliance Officer

LUKE EDWARD KEENE
CHIEF INVESTMENT OFFICER
201 2ND STREET SOUTH
HUDSON
WI
United States
Tel: 715-377-2092
(Full email address available in API data)

Regulatory Contact

MICHAEL LEVERTY
CHIEF EXECUTIVE OFFICER
201 2ND STREET SOUTH
HUDSON
WI
United States
Tel: 715-377-2080
(Full email address available in API data)

Industry Affiliates

LFG RISK SERVICES LLC Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
KEENE, LUKE, EDWARD Individual – CHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER 09/2021 10-25%
LEVERTY, MICHAEL, THOMAS Individual – CHIEF EXECUTIVE OFFICER/MANAGING MEMBER 09/2020 > 75%
HAWKINS, JOSHUA, Q Individual – CHIEF OPERATING OFFICER 01/2023 5-10%

No. Employees, Historic

10502020202120222023202420258 on 7/27/20208 on 7/27/20207 on 9/16/20207 on 11/12/20207 on 12/21/20205 on 3/18/20215 on 10/27/20215 on 11/22/20215 on 11/30/20215 on 2/22/20225 on 3/21/20225 on 4/21/20225 on 12/20/20227 on 2/28/20237 on 4/20/20238 on 3/15/2024

RAUM, Historic

500M250M02020202120222023202420250 on 7/27/20200 on 7/27/20200 on 9/16/20200 on 11/12/2020291110738 on 12/21/2020316210280 on 3/18/2021316210280 on 10/27/2021316210280 on 11/22/2021316210280 on 11/30/2021316210280 on 2/22/2022368191913 on 3/21/2022368191913 on 4/21/2022368191913 on 12/20/2022377142983 on 2/28/2023377142983 on 4/20/2023481255784 on 3/15/2024

No. Clients, Historic

60030002020202120222023202420250 on 7/27/20200 on 7/27/20200 on 9/16/20200 on 11/12/2020444 on 12/21/2020454 on 3/18/2021454 on 10/27/2021454 on 11/22/2021454 on 11/30/2021454 on 2/22/2022480 on 3/21/2022480 on 4/21/2022480 on 12/20/2022527 on 2/28/2023527 on 4/20/2023564 on 3/15/2024

Holdings

From latest 13F, filed July 15th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 2M 20K –
APPLE INC COM 601K 3K –
BOSTON SCIENTIFIC CORP COM 240K 3K –
CEMEX SAB DE CV SPON ADR NEW 64K 10K –
CHEVRON CORP NEW COM 243K 2K –
ECOLAB INC COM 2M 9K –
GABELLI UTIL TR COM 185K 31K –
ISHARES INC ESG AWR MSCI EM 244K 7K –
ISHARES TR ESG AWR MSCI USA 222K 2K –
ISHARES TR CORE S&P SCP ETF 1M 13K –
ISHARES TR ESG SCRND S&P500 234K 6K –
ISHARES TR CORE MSCI EAFE 410K 6K –
ISHARES TR CORE S&P500 ETF 25M 46K –
ISHARES TR CORE S&P MCP ETF 5M 83K –
ISHARES TR MSCI EAFE ETF 4M 47K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 29M 511K –
MICROSOFT CORP COM 403K 901 –
NORTHERN LTS FD TR IV MAIN SECTR ROTN 206K 4K –
NUSHARES ETF TR NUVEEN ESG INTL 311K 10K –
ROCKY MTN CHOCOLATE FACTORY COM 67K 31K –
SCHWAB STRATEGIC TR US SML CAP ETF 642K 14K –
SCHWAB STRATEGIC TR INTL EQTY ETF 30M 774K –
SCHWAB STRATEGIC TR US LRG CAP ETF 35M 551K –
SCHWAB STRATEGIC TR US MID-CAP ETF 468K 6K –
SHERWIN WILLIAMS CO COM 382K 1K –
SOLVENTUM CORP COM SHS 242K 5K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 303K 9K –
SPDR S&P 500 ETF TR TR UNIT 5M 9K –
SPDR SER TR PORTFOLIO S&P500 674K 11K –
SPS COMM INC COM 373K 2K –
TARGET CORP COM 271K 2K –
VANGUARD MUN BD FDS TAX EXEMPT BD 3M 60K –
VICTORY PORTFOLIOS II VICTORYSHARES WE 21M 560K –