AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Adviser information for AMERICAN INDEPENDENT SECURITIES GROUP, 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 | Idaho, United States |
Employees
| Total Number of Employees | 33 |
|---|---|
| Investment Advisory/Research | 33 |
| Registered Broker-Dealer Representatives | 33 |
| Registered State Investment Advisers | 33 |
| Licensed Agents of an Insurance Company | 29 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 145 | $20.5M |
| Non-Discretionary | 2,685 | $492.9M |
| Total | 2,830 | $513.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,605 | $314.2M |
| HNW Individuals | 209 | $188.0M |
| 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 | 11 | $8.8M |
| Charitable organizations | <5 | $696,567 |
| 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 | $1.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2830 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 2830 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-69138 |
|---|---|
| SEC ERA File Number | 801-69138 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 135288 |
| Legal Entity Identifier | None |
Principal Office
664 S RIVERSHORE LANE STE 150EAGLE
ID
United States
Monday - Friday, 7:00 AM - 4:00 PM
Tel: 208-489-3131, Fax: 208-489-3123
Chief Compliance Officer
SHEILA KERBEIN
PRINCIPAL / CCO
664 S RIVERSHORE LANE STE 150
EAGLE
ID
United States
Tel:
208-489-3131
Fax:
208-489-3123
S*****@**************M
(Full email address available in API data)
Regulatory Contact
RYAN CARLSON
MEMBER
664 S RIVERSHORE LN STE 150
EAGLE
ID
United States
Tel:
208-489-3131
Fax:
2084893123
R***@**************M
(Full email address available in API data)
Industry Affiliates
| AMERICAN INDEPENDENT SECURITIES GROUP, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CARLSON, RYAN SHANE | Individual | – | MEMBER, CEO | 12/2023 | 25-50% |
| SELLIN, THOMAS CLIFFORD | Individual | – | MEMBER | 12/2023 | 50-75% |
| THOMAS, JOSEPH ALLISON JR | Individual | – | MUNICIPAL PRICIPAL,REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL ,MEMBER | 07/2011 | < 5% |
| KERBEIN, SHEILA A | Individual | – | PRINCIPAL, CHIEF COMPLIANCE OFFICER | 04/2021 | < 5% |
| FAXON, REYHEENA MARIA | Individual | – | PRINCIPAL, FINOP | 04/2021 | < 5% |