LIBERTY FINANCIAL GROUP, INC.
Adviser information for LIBERTY FINANCIAL GROUP, INC. 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Wisconsin, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 599 | $113.5M |
| Non-Discretionary | 9 | $521,668 |
| Total | 608 | $114.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 166 | $61.2M |
| HNW Individuals | 26 | $52.7M |
| 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 | 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 | 3 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-124940 |
|---|---|
| SEC ERA File Number | 801-124940 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111272 |
| Legal Entity Identifier | None |
Principal Office
13150 WATERTOWN PLANK RDSUITE 203
ELM GROVE
WI
United States
Monday - Friday, 8:30 A.M. - 5 P.M.
Tel: 262-785-1377, Fax: 262-785-6655
Chief Compliance Officer
SHANNON NOOK
13150 WATERTOWN PLANK RD
SUITE 203
ELM GROVE
WI
United States
Tel:
262.785.1377
Fax:
262.785.6655
S******@********M
(Full email address available in API data)
Regulatory Contact
DAVID T. WARGIN
13150 WATERTOWN PLANK RD
SUITE 203
ELM GROVE
WI
United States
Tel:
262.785.1377
Fax:
262.785.6655
D****@********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 |
|---|---|---|---|---|---|
| NOOK, SHANNON, LESLEY | Individual | – | PRESIDENT/CCO | 01/2021 | > 75% |