SAFEGUARD ASSET MANAGEMENT LLC
Adviser information for SAFEGUARD ASSET MANAGEMENT LLC last updated from Form ADV on March 30th, 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 | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 0 |
| 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 | 1 | $7.7M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $7.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $7.7M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-123478 |
|---|---|
| SEC ERA File Number | 801-123478 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 315903 |
| Legal Entity Identifier | None |
Principal Office
307 STONYHILL DRIVECHALFONT
PA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 215-872-1317, Fax: 215-997-0640
Chief Compliance Officer
ERIC KLEINSCHMIDT
3 CANAL PLAZA
SUITE 100
PORTLAND
ME
United States
Tel:
484-588-5509
E****************@************M
(Full email address available in API data)
Regulatory Contact
GARY KLEINSCHMIDT
CEO
307 STONYHILL DRIVE
CHALFONT
PA
United States
Tel:
215-872-1317
Fax:
215-997-0640
G************@**************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 |
|---|---|---|---|---|---|
| KLEINSCHMIDT, GARY, F | Individual | – | CEO | 07/2021 | 50-75% |
| GABOR, JOSEPH, WILLIAM | Individual | – | PRESIDENT | 07/2021 | 50-75% |
| KLEINSCHMIDT, ERIC, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |