SCHLINDWEIN ASSOCIATES LLC
Adviser information for SCHLINDWEIN ASSOCIATES LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| 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 | 457 | $199.9M |
| Non-Discretionary | 0 | $0 |
| Total | 457 | $199.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 87 | $41.0M |
| HNW Individuals | 46 | $155.5M |
| 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 | <5 | $0 |
| Charitable organizations | <5 | $3.4M |
| 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 | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsINVESTMENT ADVICE THROUGH CONSULTATIONS NOT SPECIFICALLY MENTIONED ABOVE. |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-57433 |
|---|---|
| SEC ERA File Number | 801-57433 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109132 |
| Legal Entity Identifier | None |
Principal Office
1717 MAIN STREETSUITE 3975
DALLAS
TX
United States
Monday - Friday, 9:00 A.M.-5:00 P.M.
Tel: 469-385-7040, Fax: 469-385-7041
Chief Compliance Officer
TIMOTHY A. SCHLINDWEIN
MANAGING PRINCIPAL
20 NORTH WACKER DR.
SUITE 2410
CHICAGO
IL
United States
Tel:
312-332-1520
Fax:
630-468-2306
T***@********M
(Full email address available in API data)
Regulatory Contact
WINNIE SCHLINDWEIN
MANAGING PRINCIPAL
20 NORTH WACKER DR.
SUITE 2410
CHICAGO
IL
United States
Tel:
312-332-1520
Fax:
630-468-2306
W******@********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 |
|---|---|---|---|---|---|
| SCHLINDWEIN, TIMOTHY, ALLEN | Individual | – | MANAGING PRINCIPAL; FOUNDER & PRESIDENT; CHIEF COMPLIANCE OFFICER | 06/1995 | < 5% |
| TIMOTHY A. SCHLINDWEIN TRUST DATED MARCH 9, 2005 | Domestic Entity | – | OWNER | 03/2024 | > 75% |
| SCHLINDWEIN, TIMOTHY, ALLEN | Individual | TIMOTHY A. SCHLINDWEIN TRUST DATED MARCH 9, 2005 | TRUSTEE | 06/1995 |