LINCOLN FINANCIAL INVESTMENTS CORPORATION
Adviser information for LINCOLN FINANCIAL INVESTMENTS CORPORATION 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 |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Tennessee, United States |
Employees
| Total Number of Employees | 124 |
|---|---|
| Investment Advisory/Research | 17 |
| Registered Broker-Dealer Representatives | 22 |
| 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 | 129 | $85.6B |
| Non-Discretionary | 0 | $0 |
| Total | 129 | $85.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 114 | $85.0B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $289.4M |
| 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 | 12 | $340.2M |
| 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 companiesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
150 N. RADNOR - CHESTER RDRADNOR
PA
United States
Monday - Friday, 8:00 AM TO 4:30 PM
Tel: 484-583-2607, Fax: None
Chief Compliance Officer
JOHN ARTHUR WESTON
VICE PRESIDENT
44 THACKERAY ROAD
CONCORD
NH
United States
Tel:
603-226-5457
J**********@******M
(Full email address available in API data)
Regulatory Contact
RONALD ALAN HOLINSKY
SENIOR VICE PRESIDENT; CHIEF LEGAL OFFICER; SECRETARY
150 N. RADNOR-CHESTER RD
RADNOR
PA
United States
Tel:
484-583-2607
R**************@******M
(Full email address available in API data)
Industry Affiliates
| CALIFORNIA FRINGE BENEFIT AND INSURANCE MARKETING CORPORATION | Insurance company or agency |
| FIRST PENN-PACIFIC LIFE INSURANCE COMPANY | Insurance company or agency |
| LFA, LIMITED LIABILITY COMPANY | Insurance company or agency |
| LFD INSURANCE AGENCY, LIMITED LIABILITY COMPANY | Insurance company or agency |
| LINCOLN FINANCIAL ADVISORS CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| LINCOLN FINANCIAL DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| LINCOLN FINANCIAL GROUP TRUST COMPANY, LLC | Trust company |
| LINCOLN FINANCIAL INSURANCE AGENCY INCORPORATED | Insurance company or agency |
| LINCOLN FINANCIAL SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| LINCOLN INVESTMENT MANAGEMENT COMPANY | Other investment adviser, including financial planners |
| LINCOLN LIFE & ANNUITY COMPANY OF NEW YORK | Insurance company or agency |
| THE LINCOLN NATIONAL LIFE INSURANCE COMPANY | Commodity pool operator or commodity trading advisorInsurance company or agencySponsor, GP, manager of pooled investment vehicles |
| WESTFIELD ASSIGNED BENEFITS COMPANY | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SAB1 | UNDERLYING FUND FOR BANK OWNED VARIABLE LIFE INSURANCE PRODUCT | $40.2M | $0.0M | 12 |
| SAB2 | UNDERLYING FUND TO BANK OWNED VARIABLE LIFE INSURANCE PRODUCT | $49.7M | $0.0M | 30 |
| SAB3 | UNDERLYING FUND FOR BANK OWNED VARIABLE LIFE INSURANCE PRODUCT | $199.6M | $0.0M | 5 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WESTON, JOHN, ARTHUR | Individual | – | CHIEF COMPLIANCE OFFICER & VICE PRESIDENT | 05/1992 | < 5% |
| THE LINCOLN NATIONAL LIFE INSURANCE COMPANY | Domestic Entity | – | PARENT | 12/2011 | > 75% |
| LINCOLN NATIONAL CORPORATION | Domestic Entity | THE LINCOLN NATIONAL LIFE INSURANCE COMPANY | PARENT | 12/2011 | > 75% |
| Bronchetti, Jayson, Reagan | Individual | – | DIRECTOR & CHAIRMAN | 01/2022 | < 5% |
| HOLINSKY, RONALD, ALAN | Individual | – | DIRECTOR, SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER AND SECRETARY | 08/2023 | < 5% |
| KENNEDY, JOHN, CHRISTOPHER | Individual | – | DIRECTOR | 05/2021 | < 5% |
| FERRARO, RALPH, ROBERT | Individual | – | DIRECTOR | 02/2022 | < 5% |
| Richer, Benjamin, Alan | Individual | – | PRESIDENT, DIRECTOR | 01/2022 | < 5% |
| Turer, Stephen, Ryan | Individual | – | DIRECTOR | 07/2022 | < 5% |
| SPURR, PAUL, PHILLIP | Individual | – | DIRECTOR | 02/2023 | < 5% |
| Cohen, Adam, Maxwell | Individual | – | DIRECTOR | 11/2023 | < 5% |
| HOFFMAYER, JAMES, JOSEPH | Individual | – | VICE PRESIDENT, CHIEF ACCOUNTING OFFICER AND TREASURER | 03/2024 | < 5% |