LOCKTON INVESTMENT ADVISORS, LLC
Adviser information for LOCKTON INVESTMENT ADVISORS, LLC last updated from Form ADV on February 22nd, 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 | APRIL |
| Legal Location | Missouri, United States |
Employees
| Total Number of Employees | 29 |
|---|---|
| Investment Advisory/Research | 29 |
| Registered Broker-Dealer Representatives | 21 |
| Registered State Investment Advisers | 29 |
| Licensed Agents of an Insurance Company | 29 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | CLIENT REFERRALS |
|---|---|
| Compensation | REFERRAL FEE |
Identifiers
| SEC RIA File Number | 801-68005 |
|---|---|
| SEC ERA File Number | 801-68005 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 144133 |
| Legal Entity Identifier | None |
Principal Office
444 W 47TH STREETSUITE 900
KANSAS CITY
MO
United States
Monday - Friday, 8 AM TO 5 PM
Tel: 816-960-9000, Fax: 816-960-9099
Chief Compliance Officer
CURTIS CALVERT
CCO
444 W 47TH STREET
SUITE 900
KANSAS CITY
MO
United States
Tel:
816-960-9000
Fax:
8169609099
C*******@*****************M
(Full email address available in API data)
Industry Affiliates
| LOCKTON INVESTMENT SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LOCKTON, INC. | Domestic Entity | LPCM, LLC | SOLE MEMBER | 05/2016 | > 75% |
| LOCKTON INSURANCE AGENCY, LLC | Domestic Entity | – | CORPORATE UNIT HOLDER | 05/2016 | > 75% |
| LOCKTON OPERATING COMPANIES, LLC | Domestic Entity | LOCKTON INSURANCE AGENCY, LLC | CORPORATE UNIT HOLDER | 05/2016 | > 75% |
| LOCKTON PARTNERS, LLC | Domestic Entity | LOCKTON OPERATING COMPANIES, LLC | CORPORATE UNIT HOLDER | 05/2016 | > 75% |
| LPCM, LLC | Domestic Entity | LOCKTON PARTNERS, LLC | CORPORATE UNIT HOLDER | 05/2016 | > 75% |
| CALVERT, CURTIS, NEIL | Individual | – | CCO | 04/2022 | < 5% |
| HARTMAN, KYLE, RANDALL | Individual | – | EXECUTIVE OFFICER | 02/2024 | < 5% |