CCM INVESTMENT GROUP, LLC
Adviser information for CCM INVESTMENT GROUP, LLC last updated from Form ADV on March 27th, 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 | Minnesota, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 1 | $868.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $868.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $868.8M |
| 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 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-128708 |
|---|---|
| SEC ERA File Number | 801-128708 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 327915 |
| Legal Entity Identifier | None |
Principal Office
11 BRIDGE SQUARENORTHFIELD
MN
United States
Monday - Friday, 8AM-5PM CT
Tel: 507-645-8887, Fax: 507-645-6408
Websites
Chief Compliance Officer
JUSTIN D. STETS
PRESIDENT
11 BRIDGE SQUARE
NORTHFIELD
MN
United States
Tel:
507-321-4006
J***********@*************M
(Full email address available in API data)
Regulatory Contact
GINGER CHURCH
EXECUTIVE ASSISTANT
11 BRIDGE SQUARE
NORTHFIELD
MN
United States
Tel:
507-321-4020
G************@*************M
(Full email address available in API data)
Industry Affiliates
| CARLSON CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial planners |
| CARLSON TRUST, A TRUST REPRESENTATIVE OFFICE OF NATIONAL ADVISORS TRUST COMPANY, FSB | Trust company |
| CCM TAX & TRUST | Accountant or accounting firm |
| VIAFORTE, 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 |
|---|---|---|---|---|---|
| CARLSON CAPITAL MANAGEMENT, LLC | Domestic Entity | – | MEMBER AND MANAGER | 07/2023 | > 75% |
| STETS, JUSTIN, DANIEL | Individual | – | CHIEF COMPLIANCE OFFICER AND PRESIDENT | 08/2023 | < 5% |
| CARLSON CAPITAL MANAGEMENT | Domestic Entity | CARLSON CAPITAL MANAGEMENT, LLC | MEMBER | 01/2016 | > 75% |
| CARLSON, GREGORY, ALAN | Individual | CARLSON CAPITAL MANAGEMENT | FOUNDER & CEO | 01/1988 | 25-50% |
| CARLSON, JEFFREY, ROBERT | Individual | CARLSON CAPITAL MANAGEMENT | FOUNDER & SECRETARY/TREASURER | 01/1988 | 25-50% |