SAMMONS FINANCIAL GROUP ASSET MANAGEMENT, LLC
Adviser information for SAMMONS FINANCIAL GROUP ASSET MANAGEMENT, LLC last updated from Form ADV on March 28th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 8 | $11.4B |
| Non-Discretionary | 0 | $0 |
| Total | 8 | $11.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | <5 | $11.3B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 6 | $13.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 13 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-125868 |
|---|---|
| SEC ERA File Number | 801-125868 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 321109 |
| Legal Entity Identifier | None |
Principal Office
8300 MILLS CIVIC PARKWAYWEST DES MOINES
IA
United States
Monday - Friday, 8-5
Tel: 515-221-4879, Fax: None
Chief Compliance Officer
BRETT AGNEW
INTERIM CCO AND GENERAL COUNSEL
8300 MILLS CIVIC PARKWAY
WEST DES MOINES
IA
United States
Tel:
515-327-5890
B*****@*************M
(Full email address available in API data)
Regulatory Contact
ERIK BLASE
COMPLIANCE CONSULTANT, WEALTH MANAGEMENT
8300 MILLS CIVIC PARKWAY
WEST DES MOINES
IA
United States
Tel:
5155140154
E*****@*************M
(Full email address available in API data)
Industry Affiliates
| BEACON CAPITAL MANAGEMENT, INC. | Other investment adviser, including financial planners |
| HEYDAY INSURANCE AGENCY, LLC | Insurance company or agency |
| MIDLAND NATIONAL LIFE INSURANCE COMPANY | Insurance company or agency |
| MY FINANCIAL FREEDOM LLC | Insurance company or agency |
| NORTH AMERICAN COMPANY FOR LIFE AND HEALTH INSURANCE | Insurance company or agency |
| NORTHROCK PARTNERS, LLC | Other investment adviser, including financial planners |
| SAMMONS FINANCIAL NETWORK, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SFG BERMUDA, LTD | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SAMMONS FINANCIAL GROUP | Domestic Entity | – | OWNER | 01/2022 | > 75% |
| AGNEW, BRETT, LEE | Individual | – | GENERAL COUNSEL | 01/2022 | < 5% |
| DAMMAN, EMILY, MARLENE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2022 | < 5% |
| MELVIN, JOHN, DAVID | Individual | – | PRESIDENT AND CHIEF INVESTMENT OFFICER | 01/2022 | < 5% |