ICON ADVISERS, INC.
Adviser information for ICON ADVISERS, INC. 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 9 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 46 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 421 | $719.4M |
| Non-Discretionary | 0 | $0 |
| Total | 421 | $719.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 403 | $6.7M |
| HNW Individuals | 11 | $78.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 7 | $634.3M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 | 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 businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsPROVIDE MODEL ALLOCATIONS THAT INCLUDE THE ICON FUNDS |
|---|---|
| Compensation | % of AUMASSET-BASED FEE FROM MODEL-ONLY RECIPIENTS |
Principal Office
8480 E ORCHARD ROADSUITE 1200
GREENWOOD VILLAGE
CO
United States
Monday - Friday, 7:00 A.M - 5:00 P.M.
Tel: 303-790-1600, Fax: 303-790-8246
Chief Compliance Officer
BRIAN CALLAHAN
PRESIDENT
8480 E ORCHARD ROAD
SUITE 1200
GREENWOOD VILLAGE
CO
United States
Tel:
303-328-9252
B********@***************M
(Full email address available in API data)
Regulatory Contact
J.B. BLUE
MANAGING DIRECTOR | PINE ADVISOR SOLUTIONS
501 S. CHERRY STREET
SUITE 610
DENVER
CO
United States
Tel:
303-588-0741
J*@***********************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 |
|---|---|---|---|---|---|
| CALLAHAN, CRAIG, THOMAS | Individual | – | OWNER - PORTFOLIO MANAGER | 10/2014 | < 5% |
| ICON MANAGEMENT & RESEARCH CORPORATION | Domestic Entity | – | OWNER | 06/1995 | > 75% |
| CALLAHAN, CRAIG, THOMAS | Individual | ICON MANAGEMENT & RESEARCH CORPORATION | DIRECTOR | 01/1995 | > 75% |
| CALLAHAN, BRIAN, THOMAS | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER | 08/2020 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ASTRAZENECA PLC | SPONSORED ADR | 2M | 30K | – |
| CEMEX SAB DE CV | SPON ADR NEW | 3M | 545K | – |
| GSK PLC | SPONSORED ADR | 2M | 53K | – |
| ING GROEP N.V. | SPONSORED ADR | 3M | 144K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 6M | 35K | – |
| VODAFONE GROUP PLC NEW | SPONSORED ADR | 3M | 338K | – |
| YPF SOCIEDAD ANONIMA | SPON ADR CL D | 3M | 170K | – |
| ZTO EXPRESS CAYMAN INC | SPONSORED ADS A | 4M | 170K | – |
| DIREXION SHS ETF TR | OIL GAS BL 2X SH | 220K | 6K | – |
| INVESCO EXCH TRADED FD TR II | SR LN ETF | 906K | 43K | – |
| SPDR SER TR | BLOOMBERG SHT TE | 4M | 146K | – |
| BLACKROCK ESG CAP ALLC TERM | SHS BEN INT | 7M | 393K | – |
| BLACKROCK MUNICIPAL INCOME | COM | 6M | 460K | – |
| HIGH INCOME SECS FD | SHS BEN INT | 696K | 101K | – |
| MFS HIGH YIELD MUN TR | SH BEN INT | 3M | 832K | – |
| MFS INVT GRADE MUN TR | SH BEN INT | 2M | 240K | – |
| NEW AMER HIGH INCOME FD INC | COM NEW | 3M | 372K | – |
| NUVEEN PFD & INCOME TERM FD | COM | 2M | 87K | – |
| RIVERNORTH CAP AND INCM FD I | COM | 3M | 172K | – |
| VIRTUS TOTAL RETURN FD INC | COM | 1M | 250K | – |
| BANK AMERICA CORP | 7.25%CNV PFD L | 1M | 851 | – |
| EQUITY COMWLTH | 6.5% CNV PFD D | 10M | 386K | – |
| WELLS FARGO CO NEW | PERP PFD CNV A | 591K | 500 | – |
| AAR CORP | COM | 6M | 80K | – |
| AGNC INVT CORP | COM | 713K | 75K | – |
| ALLETE INC | COM NEW | 1M | 21K | – |
| AMEREN CORP | COM | 1M | 15K | – |
| AMERICAN ELEC PWR CO INC | COM | 1M | 15K | – |
| AMERICAN EXPRESS CO | COM | 1M | 6K | – |
| ARMSTRONG WORLD INDS INC NEW | COM | 8M | 75K | – |
| ATMOS ENERGY CORP | COM | 1M | 12K | – |
| AVANGRID INC | COM | 1M | 32K | – |
| ADOBE INC | COM | 5M | 8K | – |
| ADVANCED DRAIN SYS INC DEL | COM | 4M | 29K | – |
| ALAMO GROUP INC | COM | 8M | 46K | – |
| ALPHABET INC | CAP STK CL C | 4M | 22K | – |
| AMGEN INC | COM | 2M | 8K | – |
| ANNALY CAPITAL MANAGEMENT IN | COM NEW | 2M | 130K | – |
| ARAMARK | COM | 1M | 42K | – |
| ARCH CAP GROUP LTD | ORD | 2M | 21K | – |
| ARCHROCK INC | COM | 3M | 150K | – |
| ARISTA NETWORKS INC | COM | 6M | 18K | – |
| ASSURANT INC | COM | 2M | 10K | – |
| AUTODESK INC | COM | 4M | 15K | – |
| BANK AMERICA CORP | COM | 4M | 102K | – |
| BRUNSWICK CORP | COM | 7K | 100 | – |
| BAKER HUGHES COMPANY | CL A | 6M | 158K | – |
| BALL CORP | COM | 6K | 100 | – |
| BLACK HILLS CORP | COM | 822K | 15K | – |
| BLUE BIRD CORP | COM | 6M | 120K | – |
| BOSTON BEER INC | CL A | 966K | 3K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 1M | 29K | – |
| CDW CORP | COM | 3M | 12K | – |
| CITIGROUP INC | COM NEW | 7K | 110 | – |
| CMS ENERGY CORP | COM | 612K | 10K | – |
| CSX CORP | COM | 2M | 70K | – |
| CANADIAN NATL RY CO | COM | 2M | 20K | – |
| CANADIAN PACIFIC KANSAS CITY | COM | 1M | 14K | – |
| CARPENTER TECHNOLOGY CORP | COM | 4M | 35K | – |
| CATERPILLAR INC | COM | 8K | 25 | – |
| CHAMPIONX CORPORATION | COM | 3M | 100K | – |
| SCHWAB CHARLES CORP | COM | 9K | 120 | – |
| CHART INDS INC | COM | 4M | 31K | – |
| CHEMOURS CO | COM | 2M | 109K | – |
| THE CIGNA GROUP | COM | 3M | 10K | – |
| CISCO SYS INC | COM | 3M | 54K | – |
| CLEAN HARBORS INC | COM | 883K | 4K | – |
| COGNIZANT TECHNOLOGY SOLUTIO | CL A | 7K | 105 | – |
| COMCAST CORP NEW | CL A | 6K | 150 | – |
| CONOCOPHILLIPS | COM | 8K | 70 | – |
| CONSOLIDATED EDISON INC | COM | 986K | 11K | – |
| CUMMINS INC | COM | 7K | 25 | – |
| DTE ENERGY CO | COM | 3M | 25K | – |
| DANA INC | COM | 1M | 110K | – |
| DARLING INGREDIENTS INC | COM | 1M | 28K | – |
| DECKERS OUTDOOR CORP | COM | 2M | 2K | – |
| DELTA AIR LINES INC DEL | COM NEW | 1M | 27K | – |
| DOMINION ENERGY INC | COM | 2M | 48K | – |
| EASTMAN CHEM CO | COM | 3M | 27K | – |
| ELEVANCE HEALTH INC | COM | 5M | 10K | – |
| ENCOMPASS HEALTH CORP | COM | 2M | 29K | – |
| ENTERPRISE PRODS PARTNERS L | COM | 5M | 167K | – |
| EQUITABLE HLDGS INC | COM | 2M | 39K | – |
| EQUITRANS MIDSTREAM CORP | COM | 4M | 350K | – |
| EQUITY COMWLTH | COM SH BEN INT | 3M | 152K | – |
| EURONET WORLDWIDE INC | COM | 3M | 29K | – |
| EVEREST GROUP LTD | COM | 1M | 3K | – |
| EVERGY INC | COM | 2M | 45K | – |
| EVERSOURCE ENERGY | COM | 1M | 18K | – |
| EXPEDIA GROUP INC | COM NEW | 2M | 13K | – |
| EXTREME NETWORKS | COM | 2M | 140K | – |
| FIDELITY NATIONAL FINANCIAL | FNF GROUP COM | 195K | 4K | – |
| FORTINET INC | COM | 3M | 55K | – |
| GENTEX CORP | COM | 2M | 59K | – |
| GENTHERM INC | COM | 741K | 15K | – |
| GLOBAL PMTS INC | COM | 4M | 41K | – |
| GLOBANT S A | COM | 2M | 12K | – |
| GOLAR LNG LTD | SHS | 5M | 155K | – |
| GOLDMAN SACHS BDC INC | SHS | 924K | 61K | – |
| GRANITE CONSTR INC | COM | 4M | 65K | – |
| GREENBRIER COS INC | COM | 2M | 50K | – |
| H & E EQUIPMENT SERVICES INC | COM | 2M | 46K | – |
| HCA HEALTHCARE INC | COM | 3M | 8K | – |
| HUMANA INC | COM | 3M | 9K | – |
| HANOVER INS GROUP INC | COM | 9K | 70 | – |
| HARTFORD FINL SVCS GROUP INC | COM | 1M | 13K | – |
| HAYNES INTL INC | COM NEW | 2M | 28K | – |
| HELIX ENERGY SOLUTIONS GRP I | COM | 3M | 240K | – |
| HORACE MANN EDUCATORS CORP N | COM | 3M | 103K | – |
| HUNTSMAN CORP | COM | 123K | 5K | – |
| IQVIA HLDGS INC | COM | 1M | 6K | – |
| ITT INC | COM | 9K | 70 | – |
| INGEVITY CORP | COM | 2M | 47K | – |
| INGREDION INC | COM | 2M | 19K | – |
| JAZZ PHARMACEUTICALS PLC | SHS USD | 767K | 7K | – |
| JPMORGAN CHASE & CO | COM | 5M | 25K | – |
| KEYCORP | COM | 2M | 131K | – |
| KAISER ALUMINUM CORP | COM PAR $0.01 | 184K | 2K | – |
| LAMB WESTON HLDGS INC | COM | 1M | 17K | – |
| LINCOLN NATL CORP IND | COM | 3M | 108K | – |
| LPL FINL HLDGS INC | COM | 13M | 45K | – |
| LAZARD INC | COM | 226K | 6K | – |
| LEAR CORP | COM NEW | 1M | 10K | – |
| LEGGETT & PLATT INC | COM | 486K | 43K | – |
| LIVERAMP HLDGS INC | COM | 4M | 114K | – |
| LOCKHEED MARTIN CORP | COM | 2M | 4K | – |
| MAGNA INTL INC | COM | 3M | 62K | – |
| MARTIN MARIETTA MATLS INC | COM | 8K | 15 | – |
| MASCO CORP | COM | 3M | 50K | – |
| MASTERCARD INCORPORATED | CL A | 9M | 20K | – |
| MERCK & CO INC | COM | 2M | 16K | – |
| MARSH & MCLENNAN COS INC | COM | 2M | 12K | – |
| META PLATFORMS INC | CL A | 5M | 9K | – |
| MICROSOFT CORP | COM | 7K | 15 | – |
| MOLINA HEALTHCARE INC | COM | 4M | 13K | – |
| NATIONAL FUEL GAS CO | COM | 1M | 26K | – |
| NEXSTAR MEDIA GROUP INC | COMMON STOCK | 2M | 12K | – |
| NIKE INC | CL B | 5M | 62K | – |
| NISOURCE INC | COM | 1M | 47K | – |
| NOV INC | COM | 3M | 160K | – |
| NEW JERSEY RES CORP | COM | 3M | 74K | – |
| NEXTERA ENERGY INC | COM | 1M | 19K | – |
| NORFOLK SOUTHN CORP | COM | 6K | 30 | – |
| ONE GAS INC | COM | 3M | 53K | – |
| OLD DOMINION FREIGHT LINE IN | COM | 3M | 14K | – |
| OSHKOSH CORP | COM | 3M | 31K | – |
| PAYPAL HLDGS INC | COM | 5K | 80 | – |
| PERFORMANCE FOOD GROUP CO | COM | 3M | 40K | – |
| PPG INDS INC | COM | 6K | 45 | – |
| PATTERSON-UTI ENERGY INC | COM | 4M | 400K | – |
| PEGASYSTEMS INC | COM | 2M | 35K | – |
| RENAISSANCERE HLDGS LTD | COM | 1M | 7K | – |
| STATE STR CORP | COM | 4K | 60 | – |
| TD SYNNEX CORPORATION | COM | 5M | 47K | – |
| SELECT MED HLDGS CORP | COM | 3M | 79K | – |
| SKECHERS U S A INC | CL A | 3M | 48K | – |
| SOUTHWEST AIRLS CO | COM | 4M | 125K | – |
| SOUTHWESTERN ENERGY CO | COM | 3M | 400K | – |
| SPIRE INC | COM | 965K | 16K | – |
| STANLEY BLACK & DECKER INC | COM | 104K | 1K | – |
| SUNCOR ENERGY INC NEW | COM | 2M | 65K | – |
| T-MOBILE US INC | COM | 4M | 20K | – |
| TETRA TECHNOLOGIES INC DEL | COM | 1M | 400K | – |
| TEREX CORP NEW | COM | 3M | 53K | – |
| TETRA TECH INC NEW | COM | 791K | 4K | – |
| TRANE TECHNOLOGIES PLC | SHS | 20K | 60 | – |
| TRINITY INDS INC | COM | 7M | 238K | – |
| TRUIST FINL CORP | COM | 2M | 39K | – |
| UNION PAC CORP | COM | 5M | 21K | – |
| UNITEDHEALTH GROUP INC | COM | 5M | 9K | – |
| UNITED THERAPEUTICS CORP DEL | COM | 16K | 50 | – |
| UNIVERSAL DISPLAY CORP | COM | 3M | 17K | – |
| VISA INC | COM CL A | 2M | 8K | – |
| VECTOR GROUP LTD | COM | 3M | 243K | – |
| VISTEON CORP | COM NEW | 1M | 10K | – |
| VULCAN MATLS CO | COM | 7K | 30 | – |
| DISNEY WALT CO | COM | 951K | 10K | – |
| WESTERN UN CO | COM | 1M | 111K | – |
| WOODWARD INC | COM | 4M | 23K | – |
| XCEL ENERGY INC | COM | 755K | 14K | – |
| EBAY INC. | COM | 4M | 71K | – |
| SALESFORCE INC | COM | 3M | 13K | – |