LIBERTY ASSET MANAGEMENT, INC.
Adviser information for LIBERTY ASSET MANAGEMENT, INC. last updated from Form ADV on March 1st, 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 | Illinois, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 456 | $119.5M |
| Non-Discretionary | 23 | $6.6M |
| Total | 479 | $126.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 213 | $64.2M |
| HNW Individuals | 33 | $61.9M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-125862 |
|---|---|
| SEC ERA File Number | 801-125862 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 135791 |
| Legal Entity Identifier | None |
Principal Office
3550 HOBSON ROADSUITE 101
WOODRIDGE
IL
United States
Monday - Friday, 8:30 AM TO 5:00 PM (CST)
Tel: 630-789-9653, Fax: 630-352-3422
Chief Compliance Officer
JAMES A. MOSTELLER
PRESIDENT
3550 HOBSON ROAD
SUITE 101
WOODRIDGE
IL
United States
Tel:
630-789-9653
Fax:
630-352-3422
J**@******************M
(Full email address available in API data)
Regulatory Contact
RICHARD K HOLMBERG
3550 HOBSON ROAD
SUITE 101
WOODRIDGE
IL
United States
Tel:
630-605-1872
Fax:
630-734-1471
R***@******************M
(Full email address available in API data)
Industry Affiliates
| MOSTELLER & HOLMBERG, P.C. | Lawyer or law firm |
| SECURE EQUITY, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MOSTELLER, JAMES, ARTHUR | Individual | – | PRESIDENT | 05/2005 | > 75% |
| MOSTELLER, JAMES, ARTHUR | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2007 | > 75% |