SLOAN INVESTMENT MANAGEMENT, L.L.C.
Adviser information for SLOAN INVESTMENT MANAGEMENT, L.L.C. 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 | Texas, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 283 | $712.6M |
| Non-Discretionary | 42 | $3.6M |
| Total | 325 | $716.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 130 | $38.4M |
| HNW Individuals | 153 | $674.2M |
| 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 | 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 | 42 | $3.6M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsINVESTMENT CONSULTING |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-67463 |
|---|---|
| SEC ERA File Number | 801-67463 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 142276 |
| Legal Entity Identifier | None |
Principal Office
100 CRESCENT COURTSUITE 1130
DALLAS
TX
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 214-720-7500, Fax: 214-720-7501
Websites
Chief Compliance Officer
TIFFANY PASLEY
CHIEF TECHNOLOGY OFFICER
100 CRESCENT COURT
SUITE 1130
DALLAS
TX
United States
Tel:
2147207500
Fax:
2147207501
T******@**********M
(Full email address available in API data)
Regulatory Contact
FRANK SLOAN
PRESIDENT
100 CRESCENT COURT
SUITE 1130
DALLAS
TX
United States
Tel:
214-720-7500
Fax:
214-720-7501
F*****@**********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 |
|---|---|---|---|---|---|
| SLOAN, FRANK, OLIVER | Individual | – | PRESIDENT | 02/2007 | 50-75% |
| CONWAY, KELLY, SLOAN | Individual | – | MEMBER | 02/2007 | 10-25% |
| PASLEY, TIFFANY, ANN | Individual | – | CCO/CTO | 06/2020 | 10-25% |
| PARKHURST, GARY, MARK | Individual | – | MEMBER | 02/2007 | 5-10% |
| CONWAY, CASEY, WARD | Individual | – | MANAGING MEMBER | 06/2020 | < 5% |