LCG ASSOCIATES, INC.
Adviser information for LCG ASSOCIATES, INC. 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 | Corporation |
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Fiscal Year End | DECEMBER |
Legal Location | Illinois, United States |
Employees
Total Number of Employees | 62 |
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Investment Advisory/Research | 49 |
Registered Broker-Dealer Representatives | 0 |
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 |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 11 | $1.8B |
Non-Discretionary | 2 | $157.1M |
Total | 13 | $2.0B |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 0 | $0 |
HNW Individuals | <5 | $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 | 11 | $0 |
Charitable organizations | 47 | $1.3B |
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 | 37 | $695.3M |
Other | 6 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 89 |
No. of Non-U.S. Clients | 3 |
Services
Advisory Services | Portfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)GIVE INVESTMENT ADVICE BASED ON EACH CLIENT'S NEEDS. |
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Compensation | % of AUMFixed fees |
Identifiers
SEC RIA File Number | 801-17169 |
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SEC ERA File Number | 801-17169 |
SEC CIK Numbers | None |
SEC CRD Numbers | 105971 |
Legal Entity Identifier | None |
Principal Office
400 GALLERIA PARKWAYSUITE 1800
ATLANTA
GA
United States
Monday - Friday, 8:30A.M. TO 5:00P.M.
Tel: (770) 644-0100, Fax: (770) 644-0105
Chief Compliance Officer
STILES, AMBER NICOLE
CHIEF COMPLIANCE OFFICER
400 GALLERIA PARKWAY SUITE 1800
ATLANTA
GA
United States
Tel:
(770) 644-0100
Fax:
(770) 644-0105
A******@****************M
(Full email address available in API data)
Regulatory Contact
CHOTINER, KATHRYN CLAIRE PARADICE
PRESIDENT
400 GALLERIA PARKWAY SUITE 1800
ATLANTA
GA
United States
Tel:
(770) 644-0100
Fax:
(770) 644-0105
C********@****************M
(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 |
---|---|---|---|---|---|
FREEMAN, SCOTT, MICHAEL | Individual | – | SENIOR V.P. / DIRECTOR | 09/1992 | < 5% |
JOHNSON, EDWARD, FRANCIS | Individual | – | CHAIRMAN OF THE BOARD / DIRECTOR | 01/2005 | < 5% |
DANIEL, ANTHONY, MORGAN | Individual | – | SENIOR V.P. / DIRECTOR | 01/2004 | < 5% |
FALCO, BRIAN, JOHN | Individual | – | SENIOR V.P. / DIRECTOR | 12/2002 | < 5% |
RITTER, DAVID, DANIEL | Individual | – | SENIOR V.P. / DIRECTOR | 01/2004 | < 5% |
LCG HOLDINGS, INC. | Domestic Entity | – | PARENT OF APPLICANT | 09/1979 | > 75% |
LUBIN, MICHAEL, TODD | Individual | – | SENIOR V.P. / DIRECTOR | 10/2006 | < 5% |
STILES, AMBER, NICOLE | Individual | – | CHIEF COMPLIANCE OFFICER / DIRECTOR | 01/2016 | < 5% |
EMERSON, DAVID, ROBERT | Individual | – | SENIOR V.P. / DIRECTOR | 12/2017 | < 5% |
CHOTINER, KATHRYN, CLAIRE PARADICE | Individual | – | PRESIDENT / DIRECTOR | 01/2024 | < 5% |
CHALLEN, JAMES, JOHNSTON | Individual | – | CHIEF EXECUTIVE OFFICER / DIRECTOR | 01/2024 | < 5% |