LINCOLN INVESTMENT
LINCOLN INVESTMENT PLANNING, LLC Legal Name
Adviser information for LINCOLN INVESTMENT 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 1297 |
|---|---|
| Investment Advisory/Research | 883 |
| Registered Broker-Dealer Representatives | 868 |
| Registered State Investment Advisers | 872 |
| Licensed Agents of an Insurance Company | 686 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 83,897 | $8.3B |
| Non-Discretionary | 119,530 | $9.0B |
| Total | 203,427 | $17.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 134,236 | $14.8B |
| HNW Individuals | 3,111 | $2.2B |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 19 | $30.5M |
| Charitable organizations | 36 | $10.1M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 168 | $157.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 679 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 207.3M |
| Portfolio Manager | 0 |
| Both for Same | 3.5M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| AIM ETF | LINCOLN INVESTMENT |
Principal Office
601 OFFICE CENTER DRIVESUITE 300
FORT WASHINGTON
PA
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 215-887-8111, Fax: 215-376-1057
Chief Compliance Officer
MAUREEN A. MATTSON
EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
601 OFFICE CENTER DRIVE
SUITE 300
FORT WASHINGTON
PA
United States
Tel:
215-886-7555
Fax:
215-376-1057
M*******@********************M
(Full email address available in API data)
Regulatory Contact
SUSAN OBERLIES
SVP, CORPORATE COUNSEL AND SECRETARY
601 OFFICE CENTER DRIVE
SUITE 300
FORT WASHINGTON
PA
United States
Tel:
215-881-7742
Fax:
215-376-1057
S********@********************M
(Full email address available in API data)
Industry Affiliates
| BEACON FINANCIAL ADVISORY LLC | Other investment adviser, including financial planners |
| CAPITAL ADVISORS, LTD., LLC | Other investment adviser, including financial planners |
| CAPITAL ANALYSTS | Other investment adviser, including financial planners |
| ELLIOTT COVE CAPITAL MANAGEMENT | Other investment adviser, including financial planners |
| K2 FINANCIAL INC. | Other investment adviser, including financial planners |
| LEGACY SOLUTIONS, LLC | Other investment adviser, including financial planners |
| SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC | Other investment adviser, including financial planners |
| SHORE MORGAN YOUNG WEALTH STRATEGIES | Other investment adviser, including financial planners |
| STRATEGIC ASSET MANAGEMENT GROUP ADVISORS | Other investment adviser, including financial planners |
| WILLIAM ROANE SKEETERS, INC. | Other investment adviser, including financial planners |
| WILSON INVESTMENT ADVISORY SERVICES, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FORST, EDWARD SAMUEL JR | Individual | – | ELECTED MANAGER/PRESIDENT/CEO | 08/2015 | < 5% |
| FLAX, STEVEN NEIL | Individual | – | SR VICE-PRESIDENT, HUMAN RESOURCES | 01/2012 | < 5% |
| BURA, KAREN DOUGHERTY | Individual | – | VICE-PRESIDENT, CONTROLLER | 03/2023 | < 5% |
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | Domestic Entity | – | MEMBER/OWNER | 08/2015 | > 75% |
| LINCOLN INVESTMENT GROUP HOLDINGS, INC. | Domestic Entity | LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | INDIRECT OWNER | 08/2015 | 50-75% |
| MCCARTHY, DIANE MULHERRIN | Individual | – | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 09/2018 | < 5% |
| MEHROTRA, SHASHI | Individual | – | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT STRATEGIST | 10/2019 | < 5% |
| BUETI, ANTHONY CHARLES | Individual | – | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 03/2023 | < 5% |
| MATTSON, MAUREEN ANN | Individual | – | EXECUTIVE-VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 01/2022 | < 5% |
| KOLLAR, MICHAEL MARK | Individual | – | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION OFFICER | 04/2022 | < 5% |
| OBERLIES, SUSAN MARY | Individual | – | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 07/2022 | < 5% |
| LECKEY, KATHLEEN KINSLOW | Individual | – | EXECUTIVE VICE-PRESIDENT, CHIEF OPERATING OFFICER | 10/2022 | < 5% |
| MAYHEW, STEPHEN THOMAS | Individual | – | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 07/2022 | < 5% |
| O'LEARY, KEVIN JOSEPH | Individual | – | EXECUTIVE VICE-PRESIDENT, CHIEF GROWTH OFFICER | 07/2022 | < 5% |