LK&A INVESTMENT COUNSEL
LAWRENCE W. KELLY & ASSOCIATES, INC. Legal Name
Adviser information for LK&A INVESTMENT COUNSEL last updated from Form ADV on March 29th, 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 | California, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 88 | $509.6M |
| Non-Discretionary | 0 | $0 |
| Total | 88 | $509.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 15 | $8.1M |
| HNW Individuals | 68 | $495.9M |
| 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 | 5 | $5.7M |
| 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 individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-24322 |
|---|---|
| SEC ERA File Number | 801-24322 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106635 |
| Legal Entity Identifier | None |
Principal Office
199 SOUTH LOS ROBLES AVENUESUITE 850
PASADENA
CA
United States
Monday - Friday, 7:00 A.M. - 4:30 P.M. PACIFIC
Tel: 626/449-9500, Fax: 626/449-9566
Websites
Chief Compliance Officer
MICHAEL C. STEWART, CFA
CCO/SR PORTFOLIO MANAGER
199 SOUTH LOS ROBLES AVENUE
SUITE 850
PASADENA
CA
United States
Tel:
626/449-9500
Fax:
626/449-9566
M***@****************M
(Full email address available in API data)
Regulatory Contact
NICHOLAS J. WELSH, CFA
CHIEF EXECUTIVE OFFICER
199 SOUTH LOS ROBLES AVENUE
SUITE 850
PASADENA
CA
United States
Tel:
626/449-9500
Fax:
626/449-9566
N**@****************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 |
|---|---|---|---|---|---|
| WELSH, NICHOLAS, J | Individual | – | CHIEF EXECUTIVE OFFICER, DIRECTOR AND SHAREHOLDER | 10/2004 | > 75% |
| STEWART, MICHAEL, CLAY | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2013 | < 5% |