LIFEGOAL INVESTMENTS LLC
Adviser information for LIFEGOAL INVESTMENTS LLC last updated from Form ADV on March 21st, 2023. 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 | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 3 | $9.6M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $9.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 3 | $9.6M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | <5 | $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 | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-121208 |
|---|---|
| SEC ERA File Number | 801-121208 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 313831 |
| Legal Entity Identifier | None |
Principal Office
5 SPRING ST#202
SARATOGA SPRINGS
NY
United States
Monday - Friday, 8:30-5:00
Tel: 607-434-2531, Fax: None
Chief Compliance Officer
DENNIS R. MASON
36 W PIKE STREET
COVINGTON
KY
United States
Tel:
202-753-7141
D*****@**********************M
(Full email address available in API data)
Regulatory Contact
BRETT SOHNS
PRESIDENT
5 SPRING STREET
#202
SARATOGA SPRINGS
NY
United States
Tel:
607-434-2531
B**********@**********************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 |
|---|---|---|---|---|---|
| Sohns, Brett, Richard | Individual | – | MEMBER | 03/2021 | 25-50% |
| SOHNS, TAYLOR, P. | Individual | – | MEMBER | 03/2021 | 25-50% |
| MASON, DENNIS, RICHARD | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |