Hedge Fund Database

ARGI INVESTMENT SERVICES, LLC

Adviser information for ARGI INVESTMENT SERVICES, LLC 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 Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Kentucky, United States

Employees

Total Number of Employees 0
Investment Advisory/Research 0
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
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 Portfolio management for individuals and/or small businesses
Compensation % of AUM

Identifiers

SEC RIA File Number 801-70888
SEC ERA File Number 801-70888
SEC CIK Numbers 1519611
SEC CRD Numbers 151916
Legal Entity Identifier 71345954-0000

Principal Office

2201 HIGH WICKHAM PLACE
LOUISVILLE
KY
United States
Monday - Friday, 8:30 AM TO 5:30 PM
Tel: 502-753-0609, Fax: 502-426-0247

Websites

www.ceritypartners.com

Chief Compliance Officer

ARTHUR PROSTICK
CHIEF COMPLIANCE OFFICER
321 BROADWAY
SUITE 500
SARATOGA SPRINGS
NY
United States
Tel: 212-476-9008
(Full email address available in API data)

Regulatory Contact

NICOLE SCAFFIDI
DEPUTY CHIEF COMPLIANCE OFFICER
99 PARK AVENUE
16TH FLOOR
NEW YORK
NY
United States
Tel: 646-928-8784
(Full email address available in API data)

Industry Affiliates

ARGI ALTERNATIVE INVESTMENT MANAGEMENT COMPANY, LLC Sponsor, GP, manager of pooled investment vehicles
BAJA WEALTH ADVISORS LLC Other investment adviser, including financial planners
CERITY PARTNERS RETIREMENT PLAN ADVISORS Other investment adviser, including financial planners
CP RISK MANAGEMENT SERVICES LLC Insurance company or agency
PRIVATE MARKETS OPPORTUNITIES FUND Sponsor, GP, manager of pooled investment vehicles
SAGE ADVISORS, LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
CERITY PARTNERS EQUITY HOLDING LLC Domestic Entity – MEMBER 01/2023 > 75%
MISCINSKI, KURT, PATRICK Individual – PRESIDENT 01/2023 < 5%
SECO, ROBERT, JOSEPH Individual – GENERAL COUNSEL 01/2023 < 5%
PACE, BENJAMIN, ALBERT Individual – CHIEF INVESTMENT OFFICER 01/2023 < 5%
HILDEN, KEVIN, DAVID Individual – CHIEF OPERATING OFFICER 01/2023 < 5%
OKeefe, Mary, Claire Individual – HEAD OF CORPORATE DEVELOPMENT 01/2023 < 5%
CURTIS, CHRISTOPHER, GEORGE Individual – CHIEF FINANCIAL OFFICER 01/2023 < 5%
CP MERGER II LLC Domestic Entity CERITY PARTNERS EQUITY HOLDING LLC MEMBER 07/2022 > 75%
CP MERGER I LLC Domestic Entity CP MERGER II LLC MEMBER 07/2022 > 75%
CP INTERMEDIATE II LLC Domestic Entity CP MERGER I LLC MEMBER 07/2022 > 75%
CP INTERMEDIATE I LLC Domestic Entity CP INTERMEDIATE II LLC MEMBER 07/2022 > 75%
CP-RTS LLC Domestic Entity CP INTERMEDIATE I LLC MEMBER 11/2022 > 75%
CP-ACP LLC Domestic Entity CP-MCM LLC MEMBER 01/2023 > 75%
CP-MCM LLC Domestic Entity CP-RTS LLC MEMBER 01/2023 > 75%
CP HOLDINGS I LLC Domestic Entity CP-ACP LLC MEMBER 07/2022 > 75%
GENSTAR CAPITAL PARTNERS X, LP Domestic Entity CP HOLDINGS I LLC MEMBER 07/2022 25-50%
GENSTAR CAPITAL X L.P. Domestic Entity GENSTAR CAPITAL PARTNERS X, LP GENERAL PARTNER 07/2022
GENSTAR X GP LLC Domestic Entity GENSTAR CAPITAL X L.P. GENERAL PARTNER 07/2022
CERITY PARTNERS EOE LLC Domestic Entity CERITY PARTNERS EQUITY HOLDING LLC MEMBER 07/2022 25-50%
MISCINSKI, KURT, PATRICK Individual CERITY PARTNERS EOE LLC MANAGER 11/2017
QUINLAN, NEIL, LAWRENCE Individual – DIRECTOR OF OPERATIONS 04/2023 < 5%
PROSTICK, ARTHUR, ISOM Individual – CHIEF COMPLIANCE OFFICER 03/2024 < 5%

No. Employees, Historic

20010002019202020212022202320242025123 on 4/30/2019123 on 6/28/2019123 on 7/1/2019123 on 8/28/2019123 on 9/4/2019123 on 11/4/2019123 on 11/14/2019123 on 12/9/2019129 on 3/3/2020129 on 6/16/2020129 on 11/3/2020141 on 2/15/2021141 on 2/25/2021141 on 8/11/2021141 on 12/8/2021160 on 2/9/2022160 on 5/4/2022160 on 5/12/2022160 on 8/3/2022169 on 1/24/2023169 on 2/15/2023169 on 3/30/2023169 on 11/27/20230 on 3/28/2024

RAUM, Historic

5B3B02019202020212022202320242162650983 on 4/30/20192162650983 on 6/28/20192162650983 on 7/1/20192162650983 on 8/28/20192162650983 on 9/4/20192162650983 on 11/4/20192162650983 on 11/14/20192162650983 on 12/9/20193120772475 on 3/3/20203120772475 on 6/16/20203120772475 on 11/3/20203700382256 on 2/15/20213700382256 on 2/25/20213700382256 on 8/11/20213700382256 on 12/8/20214832854403 on 2/9/20224832854403 on 5/4/20224832854403 on 5/12/20224832854403 on 8/3/20224569619524 on 1/24/20234569619524 on 2/15/20234569619524 on 3/30/20234569619524 on 11/27/2023

No. Clients, Historic

5,0002,500020192020202120222023202420253260 on 4/30/20193260 on 6/28/20193260 on 7/1/20193260 on 8/28/20193260 on 9/4/20193260 on 11/4/20193260 on 11/14/20193260 on 12/9/20193724 on 3/3/20203724 on 6/16/20203724 on 11/3/20203808 on 2/15/20213808 on 2/25/20213808 on 8/11/20213808 on 12/8/20214089 on 2/9/20224089 on 5/4/20224089 on 5/12/20224089 on 8/3/20224309 on 1/24/20234309 on 2/15/20234309 on 3/30/20234309 on 11/27/20230 on 3/28/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABRDN ETFS BBRG ALL COMD K1 62M 3M –
BLACK STONE MINERALS L P Black Stone Minerals - Subordinated 378K 175 –
FIRST TR EXCHANGE-TRADED FD ENERGY INM PARTN 57M 2M –
FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 41M 1M –
INVESCO EXCH TRADED FD TR II SR LN ETF 2M 83K –
ISHARES TR 1 3 YR TREAS BD 129M 2M –
ISHARES TR 0-5YR HI YL CP 2M 41K –
ISHARES TR 7-10 YR TRSY BD 226M 2M –
ISHARES TR CORE US AGGBD ET 9M 95K –
ISHARES TR INTL TREA BD ETF 657K 17K –
ISHARES TR ISHS 1-5YR INVS 5M 93K –
ISHARES TR PARIS ALGND CLIM 80M 1M –
ISHARES TR SHORT TREAS BD 6M 53K –
ISHARES TR US TREAS BD ETF 10M 453K –
J P MORGAN EXCHANGE TRADED F BETABULDRS JAPAN 147M 3M –
NUSHARES ETF TR NUVEEN ESG INTL 519K 17K –
SCHWAB STRATEGIC TR US TIPS ETF 130M 3M –
SELECT SECTOR SPDR TR ENERGY 11M 118K –
SPDR GOLD TR GOLD SHS 78M 365K –
SPDR S&P 500 ETF TR TR UNIT 117M 216K –
SPDR SER TR BLOOMBERG INTL T 84M 4M –
VANECK ETF TRUST AGRIBUSINESS ETF 23M 323K –
VANGUARD INDEX FDS REAL ESTATE ETF 8M 94K –
VANGUARD INTL EQUITY INDEX F GLB EX US ETF 3M 63K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 5M 106K –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 63M 563K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 7M 134K –