ORION INVESTMENT CO
Adviser information for ORION INVESTMENT CO last updated from Form ADV on June 27th, 2023. 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 | MARCH |
| Legal Location | Missouri, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 4 |
| 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 | 542 | $383.3M |
| Non-Discretionary | 20 | $16.3M |
| Total | 562 | $399.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 238 | $21.8M |
| HNW Individuals | 315 | $370.4M |
| 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 | <5 | $4.2M |
| Charitable organizations | <5 | $0 |
| 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 | 8 | $3.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-32212 |
|---|---|
| SEC ERA File Number | 801-32212 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110867 |
| Legal Entity Identifier | None |
Principal Office
7800 FORSYTH BLVD.SUITE 820
ST LOUIS
MO
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 314-725-3800, Fax: 314-725-3802
Websites
Chief Compliance Officer
FREDERIC G. SAUER
VICE PRESIDENT
7800 FORSYTH BLVD.
SUITE 820
ST. LOUIS
MO
United States
Tel:
314-725-3800
Fax:
314-725-3802
F******@******M
(Full email address available in API data)
Regulatory Contact
LYNN CLINE
MANAGER
7800 FORSYTH BLVD.
SUITE 820
ST. LOUIS
MO
United States
Tel:
314-725-3800
Fax:
314-725-3802
L*****@********************M
(Full email address available in API data)
Industry Affiliates
| SAUER, DAZEY INVESTMENT COMPANY | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SAUER, FRED, NIESEN | Individual | – | PRESIDENT/TREASURER/DIRECTOR | 11/1984 | > 75% |
| SAUER, FREDERIC, GEORGE | Individual | – | VICE PRESIDENT/SECRETARY/CHIEF COMPLIANCE OFFICER/DIRECTOR | 10/2004 | 10-25% |