LION TRADING

LION TRADING LLC Legal Name

Adviser information for LION TRADING last updated from Form ADV on August 25th, 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 Pennsylvania, United States

Employees

Total Number of Employees 3
Investment Advisory/Research 3
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 0 $0
Non-Discretionary 0 $0
Total 0 $0

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 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 AUMPerformance-based fees

Identifiers

SEC RIA File Number 801-127571
SEC ERA File Number 801-127571
SEC CIK Numbers None
SEC CRD Numbers 323228
Legal Entity Identifier None

Principal Office

1406 BRETON CIRCLE
BOALSBURG
PA
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 814-280-6319, Fax: None

Websites

Chief Compliance Officer

ADAM WETZEL
1406 BRETON CIRCLE
BOALSBURG
PA
United States
Tel: 814-280-6319
(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
Wetzel, George, Adam Individual CHIEF COMPLIANCE OFFICER 06/2022 10-25%
PALACIOS, JOSE, LUIS Individual CHIEF EXECUTIVE OFFICER 06/2022 25-50%
BATTISTA, JONATHON, THOMAS Individual CHIEF TECHNOLOGY OFFICER 06/2022 25-50%

No. Employees, Historic

1050202320242 on 3/2/20232 on 4/10/20233 on 8/8/20233 on 8/25/2023

RAUM, Historic

000202320240 on 3/2/20230 on 4/10/20230 on 8/8/20230 on 8/25/2023