LSB WEALTH MANAGEMENT
LSB CAPITAL MANAGEMENT, INC. Legal Name
Adviser information for LSB WEALTH MANAGEMENT last updated from Form ADV on March 5th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Iowa, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 9 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 10 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,435 | $231.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1,435 | $231.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 460 | $82.8M |
| HNW Individuals | 217 | $87.1M |
| Banking or thrift institutions | <5 | $61.8M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $115,776 |
| 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 | 31 |
| 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 businessesPortfolio management for businesses or institutional clientsSUB-ADVISER SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesSUB-ADVISER RELATIONSHIPS |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 169.6M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| LSB CAPITAL WRAP PROGRAM | LSB WEALTH MANAGEMENT |
Identifiers
| SEC RIA File Number | 801-124725 |
|---|---|
| SEC ERA File Number | 801-124725 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310466 |
| Legal Entity Identifier | None |
Principal Office
1375 SW STATE STREETANKENY
IA
United States
Monday - Friday, 8-5
Tel: 515-327-9922, Fax: None
Websites
Chief Compliance Officer
ANNETTE UTTERBACK
CHIEF COMPLIANCE OFFICER
1375 SW STATE STREET
ANKENY
IA
United States
Tel:
515-327-9922
A****************@******M
(Full email address available in API data)
Regulatory Contact
GARY CLAYTON
COMPLIANCE CONSULTANT
PO BOX 10254
KNOXVILLE
TN
United States
Tel:
865-770-1024
S******@*************M
(Full email address available in API data)
Industry Affiliates
| LINCOLN SAVINGS BANK | Banking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LINCOLN BANCORP | Domestic Entity | LINCOLN SAVINGS BANK | SOLE OWNER | 09/1983 | > 75% |
| LINCOLN SAVINGS BANK | Domestic Entity | – | SOLE OWNER | 07/2020 | > 75% |
| UTTERBACK, ANNETTE, JEANBLANC | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |
| MCCOMBS, MARK, DONALD | Individual | – | PRESIDENT | 10/2023 | < 5% |