JOHN E. SESTINA AND COMPANY
Adviser information for JOHN E. SESTINA AND COMPANY 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 | Ohio, United States |
Employees
| Total Number of Employees | 19 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| 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 | 2,616 | $547.0M |
| Non-Discretionary | 0 | $0 |
| Total | 2,616 | $547.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,090 | $286.6M |
| HNW Individuals | 122 | $248.8M |
| 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 | 10 | $11.6M |
| 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 | 1 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-44151 |
|---|---|
| SEC ERA File Number | 801-44151 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108634 |
| Legal Entity Identifier | None |
Principal Office
1161 BETHEL ROAD, SUITE 201COLUMBUS
OH
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 614.326.3077, Fax: 888-442-5163
Chief Compliance Officer
ANDY WARNING
CHIEF COMPLIANCE OFFICER
255 EAST FIFTH STREET
SUITE 1900
CINCINNATI
OH
United States
Tel:
513-832-5463
A***********@*****************************M
(Full email address available in API data)
Regulatory Contact
ANTHONY PAYNE
COMPLIANCE COORDINATOR
1161 BETHEL RD. #201
COLUMBUS
OH
United States
Tel:
614-326-3077
T*****@**********************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 |
|---|---|---|---|---|---|
| Lukan, Stephen, A | Individual | LUKAN ENTERPRISES, LLC | OWNER | 11/2003 | |
| Cook, Tyler, V | Individual | INT2OWN, LLC | OWNER | 10/2015 | |
| PAYNE, ANTHONY, WILLIAM | Individual | HILDE, LLC | OWNER | 12/2015 | |
| Constantinovich, Craig, A | Individual | CONSTANTINOVICH, LLC | OWNER | 10/2015 | |
| LUKAN ENTERPRISES, LLC | Domestic Entity | MTBW, LLC | OWNER | 01/2016 | 25-50% |
| INT2OWN, LLC | Domestic Entity | MTBW, LLC | OWNER | 01/2016 | 25-50% |
| HILDE, LLC | Domestic Entity | MTBW, LLC | OWNER | 01/2016 | |
| CONSTANTINOVICH, LLC | Domestic Entity | MTBW, LLC | OWNER | 01/2016 | |
| MTBW, LLC | Domestic Entity | – | OWNER | 01/2016 | > 75% |
| Lukan, Stephen, A | Individual | – | MANAGING PARTNER | 11/2003 | < 5% |
| Cook, Tyler, V | Individual | – | MANAGING PARTNER | 10/2015 | < 5% |
| WARNING, ANDREW, S | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2020 | < 5% |