Hedge Fund Database

LM ADVISORS LLC

Adviser information for LM ADVISORS LLC last updated from Form ADV on March 26th, 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 21
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 1
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 2

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 971 $2.1B
Non-Discretionary 6 $16.9M
Total 977 $2.1B

Clients

Type Number RAUM
Individuals 156 $60.0M
HNW Individuals 254 $1.7B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 1 $70.1M
Pension and profit sharing plans 5 $10.7M
Charitable organizations <5 $8.9M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 14 $272.7M
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 70

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation % of AUMFixed feesREFERRAL FEE

Identifiers

SEC RIA File Number 801-72170
SEC ERA File Number 801-72170
SEC CIK Numbers 2011314
SEC CRD Numbers 153940
Legal Entity Identifier None

Principal Office

750 B STREET
SUITE 3020
SAN DIEGO
CA
United States
Monday - Friday, 8-6
Tel: 619-814-1400, Fax: 619-814-0555

Websites

www.lmadvisors.com

Chief Compliance Officer

JONATHAN CHATFIELD
750 B STREET
SUITE 3020
SAN DIEGO
CA
United States
Tel: 619-814-1400
Fax: 619-814-0555
(Full email address available in API data)

Regulatory Contact

YOEL BANK
750 B STREET
SUITE 3020
SAN DIEGO
CA
United States
Tel: 619-814-1400
Fax: 619-814-0555
(Full email address available in API data)

Industry Affiliates

LLJ VENTURES LLC Sponsor, GP, manager of pooled investment vehicles
LM CAPITAL GROUP, LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
LMA BALANCED SEGREGATED PORTFOLIO POOLED INVESTMENT VEHICLE $70.1M $0.1M 73

Control Persons

Name Type Entity Title Since Ownership
MAIZEL, LUIS Individual – MANAGING MEMBER 01/2011 < 5%
SIMPSER, LEONARDO Individual – MANAGING MEMBER 01/2011 50-75%
YOUTHBET CAPITAL Domestic Entity – MEMBER 04/2016 10-25%
JFKAPITAL LLC Domestic Entity – MEMBER 11/2016 < 5%
JFKAPITAL S.A. Foreign Entity JFKAPITAL LLC MANAGING MEMBER 10/2016 > 75%
FRYMERMAN, JOSEF Individual JFKAPITAL S.A. GENERAL MANAGER 08/2016 > 75%
MAIZEL, SALLY Individual MAIZ TRUST TRUSTEE 10/1989 50-75%
GOODBANK INVESTMENT LLC Domestic Entity – MEMBER 03/2019 < 5%
MAIZ TRUST Domestic Entity – MEMBER 04/2019 10-25%
MAIZEL, LUIS Individual MAIZ TRUST TRUSTEE 10/1989 50-75%
GOODBANK IRREVOCABLE TRUST Domestic Entity GOODBANK INVESTMENT LLC TRUSTEE 05/2011 50-75%
LAIKABF IRREVOCABLE TRUST Domestic Entity GOODBANK INVESTMENT LLC TRUSTEE 04/2017 25-50%
BANK, URIEL Individual LAIKABF IRREVOCABLE TRUST TRUSTEE 04/2017 > 75%
Bank, Yoel Individual GOODBANK IRREVOCABLE TRUST PRESIDENT AND TRUSTEE 05/2011 > 75%
CHATFIELD, JONATHAN, LESLEY Individual – CHIEF COMPLIANCE OFFICER 03/2023 < 5%

No. Employees, Historic

30150201920202021202220232024202510 on 10/7/201910 on 10/11/201920 on 3/30/202020 on 6/17/202020 on 12/9/202020 on 3/30/202120 on 8/30/202119 on 3/31/202219 on 6/2/202220 on 3/24/202321 on 3/26/202421 on 3/26/2024

RAUM, Historic

3B2B020192020202120222023202420251555767060 on 10/7/20191555767060 on 10/11/20191769701484 on 3/30/20201769701484 on 6/17/20201769701484 on 12/9/20202019324206 on 3/30/20212019324206 on 8/30/20212208723811 on 3/31/20222208723811 on 6/2/20222013856436 on 3/24/20232123359687 on 3/26/20242123359687 on 3/26/2024

No. Clients, Historic

50025002019202020212022202320242025383 on 10/7/2019383 on 10/11/2019361 on 3/30/2020361 on 6/17/2020361 on 12/9/2020393 on 3/30/2021393 on 8/30/2021423 on 3/31/2022423 on 6/2/2022439 on 3/24/2023434 on 3/26/2024434 on 3/26/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM COM 502 5K –
ADOBE INC COM COM 470 845 –
ALPHABET INC CAP STK CL A Cl A 9K 50K –
ALPHABET INC CAP STK CL C Cl C 27K 150K –
AMAZON COM INC COM COM 52K 274K –
AMERICAN EXPRESS CO COM COM 560 2K –
AMERICAN TOWER CORP NEW COM COM 210 1K –
AMERIPRISE FINL INC COM COM 427 1K –
APPLE INC COM COM 23K 109K –
APPLIED MATLS INC COM COM 236 1K –
ASML HOLDING N V N Y REGISTRY SHS REGISTRY SHS 299 292 –
AUTODESK INC COM COM 337 1K –
BANK AMERICA CORP COM COM 2K 49K –
BANK NEW YORK MELLON CORP COM COM 235 4K –
BERKSHIRE HATHAWAY INC DEL CL B NEW Cl B 6K 14K –
BLACKROCK INC COM COM 886 1K –
BLACKSTONE INC COM COM 763 6K –
BLACKSTONE SECD LENDING FD COMMON STOCK COM 676 22K –
BOEING CO COM COM 932 5K –
CHECK POINT SOFTWARE TECH LT ORD ORD 248 2K –
CHEVRON CORP NEW COM COM 2K 11K –
CITIGROUP INC COM NEW COM 1K 17K –
COCA COLA CO COM COM 799 13K –
CONOCOPHILLIPS COM COM 303 3K –
COSTCO WHSL CORP NEW COM COM 5K 6K –
CROWDSTRIKE HLDGS INC CL A Cl A 814 2K –
DIREXION SHS ETF TR DLY SCOND 3XBU ETF 249 5K –
DISNEY WALT CO COM COM 2K 15K –
EDWARDS LIFESCIENCES CORP COM COM 370 4K –
ELI LILLY & CO COM COM 5K 5K –
ENTERPRISE FINL SVCS CORP COM COM 443 11K –
ESSEX PPTY TR INC COM COM 2K 8K –
EXXON MOBIL CORP COM COM 942 9K –
FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF ETF 752 15K –
GENERAC HLDGS INC COM COM 696 5K –
GENERAL MTRS CO COM COM 339 7K –
GILEAD SCIENCES INC COM COM 288 4K –
GOLDMAN SACHS GROUP INC COM COM 2K 4K –
GSK PLC SPONSORED ADR ADR 234 6K –
HERCULES CAPITAL INC COM COM 223 11K –
HOME DEPOT INC COM COM 841 2K –
HUMANA INC COM COM 1K 3K –
INTERNATIONAL BUSINESS MACHS COM COM 436 3K –
INVESCO EXCH TRADED FD TR II S&P500 HDL VOL ETF 3K 61K –
INVESCO EXCH TRD SLF IDX FD RUSL 1000 DYNM ETF 34K 652K –
INVESCO EXCHANGE TRADED FD T AEROSPACE DEFN ETF 616 6K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT ETF 6K 37K –
INVESCO QQQ TR UNIT SER 1 ETF 15K 31K –
ISHARES GOLD TR ISHARES NEW ETF 2K 53K –
ISHARES INC CORE MSCI EMKT ETF 4K 70K –
ISHARES INC MSCI JPN ETF NEW ETF 2K 25K –
ISHARES TR CALIF MUN BD ETF ETF 982 17K –
ISHARES TR CORE DIV GRWTH ETF 242 4K –
ISHARES TR CORE MSCI EAFE ETF 2K 30K –
ISHARES TR CORE S&P MCP ETF ETF 720 12K –
ISHARES TR CORE S&P SCP ETF ETF 206 2K –
ISHARES TR CORE S&P TTL STK ETF 224 2K –
ISHARES TR CORE S&P500 ETF ETF 2K 4K –
ISHARES TR EXPND TEC SC ETF ETF 283 3K –
ISHARES TR GLOB HLTHCRE ETF ETF 294 5K –
ISHARES TR ISHARES BIOTECH ETF 950 8K –
ISHARES TR ISHARES SEMICDTR ETF 349 1K –
ISHARES TR MSCI EMG MKT ETF ETF 256 6K –
ISHARES TR RUS 1000 GRW ETF ETF 667 2K –
ISHARES TR RUS 1000 VAL ETF ETF 439 3K –
ISHARES TR RUSSELL 2000 ETF ETF 355 2K –
ISHARES TR RUSSELL 3000 ETF ETF 309 1K –
ISHARES TR SHORT TREAS BD ETF 2K 20K –
ISHARES TR U.S. MED DVC ETF ETF 5K 85K –
ISHARES TR US AER DEF ETF ETF 507 4K –
J P MORGAN EXCHANGE TRADED F BETABULDRS JAPAN ETF 230 6K –
JOHNSON & JOHNSON COM COM 1K 9K –
JPMORGAN CHASE & CO. COM COM 3K 15K –
KLA CORP COM NEW COM 792 961 –
LAUDER ESTEE COS INC CL A Cl A 337 3K –
LOCKHEED MARTIN CORP COM COM 694 1K –
LOWES COS INC COM COM 265 1K –
MASTERCARD INCORPORATED CL A Cl A 2K 4K –
MCDONALDS CORP COM COM 515 2K –
MERCADOLIBRE INC COM COM 289 176 –
MERCK & CO INC COM COM 2K 13K –
META PLATFORMS INC CL A Cl A 7K 13K –
MICROSOFT CORP COM COM 16K 36K –
MODERNA INC COM COM 1K 9K –
MORGAN STANLEY COM NEW COM 1K 12K –
NETFLIX INC COM COM 877 1K –
NEXTERA ENERGY INC COM COM 1K 20K –
NIKE INC CL B Cl B 613 8K –
NORTHROP GRUMMAN CORP COM COM 704 2K –
NOVO-NORDISK A S ADR ADR 218 2K –
NVIDIA CORPORATION COM COM 3K 25K –
ORACLE CORP COM COM 2K 17K –
OREILLY AUTOMOTIVE INC COM COM 211 200 –
PALANTIR TECHNOLOGIES INC CL A Cl A 1K 42K –
PALO ALTO NETWORKS INC COM COM 546 2K –
PAYPAL HLDGS INC COM COM 2K 28K –
PEPSICO INC COM COM 502 3K –
PFIZER INC COM COM 586 21K –
PHILLIPS 66 COM COM 282 2K –
PROCTER AND GAMBLE CO COM COM 364 2K –
PROLOGIS INC. COM COM 646 6K –
QUALCOMM INC COM COM 2K 12K –
REALTY INCOME CORP COM COM 810 15K –
RTX CORPORATION COM COM 306 3K –
S&P GLOBAL INC COM COM 404 905 –
SALESFORCE INC COM COM 5K 21K –
SBA COMMUNICATIONS CORP NEW CL A Cl A 2K 10K –
SCHWAB CHARLES CORP COM COM 389 5K –
SELECT SECTOR SPDR TR FINANCIAL ETF 1K 29K –
SELECT SECTOR SPDR TR SBI HEALTHCARE ETF 4K 29K –
SELECT SECTOR SPDR TR SBI INT-UTILS ETF 2K 34K –
SERVICENOW INC COM COM 206 261 –
SHELL PLC SPON ADS ADR 241 3K –
SHOPIFY INC CL A Cl A 329 5K –
SOFI TECHNOLOGIES INC COM COM 877 133K –
SPDR DOW JONES INDL AVERAGE UT SER 1 ETF 5K 13K –
SPDR GOLD TR GOLD SHS ETF 766 4K –
SPDR INDEX SHS FDS EURO STOXX 50 ETF 238 5K –
SPDR S&P 500 ETF TR TR UNIT ETF 31K 58K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP ETF 1K 2K –
SPDR SER TR S&P BIOTECH ETF 2K 24K –
SPDR SER TR S&P DIVID ETF ETF 254 2K –
TARGET CORP COM COM 711 5K –
TESLA INC COM COM 2K 10K –
THERMO FISHER SCIENTIFIC INC COM COM 2K 3K –
UNITEDHEALTH GROUP INC COM COM 2K 5K –
VANGUARD BD INDEX FDS SHORT TRM BOND ETF 6K 75K –
VANGUARD INDEX FDS EXTEND MKT ETF ETF 454 3K –
VANGUARD INDEX FDS MCAP GR IDXVIP ETF 448 2K –
VANGUARD INDEX FDS REAL ESTATE ETF ETF 4K 51K –
VANGUARD INDEX FDS S&P 500 ETF SHS ETF 37K 75K –
VANGUARD INDEX FDS TOTAL STK MKT ETF 10K 36K –
VANGUARD INDEX FDS VALUE ETF ETF 3K 17K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF ETF 3K 75K –
VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF ETF 557 8K –
VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF ETF 216 3K –
VANGUARD MUN BD FDS TAX EXEMPT BD ETF 559 11K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF ETF 16K 87K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT ETF 217 4K –
VANGUARD WORLD FD HEALTH CAR ETF ETF 9K 34K –
VANGUARD WORLD FD INF TECH ETF ETF 1K 2K –
VERIZON COMMUNICATIONS INC COM COM 1K 32K –
VISA INC COM CL A Cl A 3K 13K –
WALMART INC COM COM 3K 45K –
WISDOMTREE TR US QTLY DIV GRT ETF 1K 15K –
ADVANCED MICRO DEVIC pt 3M 0 –
BERKSHIRE HATHAWAY INC DEL CL A Cl A 7K 11 –
BLACKROCK INNOVATION AND GRW SHS BEN INT ETF 265 37K –
BLACKROCK LTD DURATION INCOM COM SHS COM 208 15K –
BLACKROCK MUN INCOME QUALITY COM COM 2K 163K –
BLACKROCK MUNIHLDNGS CALI QL COM COM 451 41K –
BLACKROCK SCIENCE & TECHNOLO SHS BEN INT ETF 3K 140K –
BROADCOM INC COM pt 452K 0 –
COLUMBIA ETF TR I MULTI SEC MUNI ETF 813 40K –
COLUMBIA ETF TR I RESH ENHNC COR ETF 521 19K –
CROWN CASTLE INTL CORP COM USD 0.01 pt 699K 0 –
DELL INC pt 1M 0 –
DIREXION DAILY SEMI.BULL 3X pt 244K 0 –
DOLLAR GENERAL CORP pt 974K 0 –
EA SERIES TRUST ALTRIUS GBL DIV ETF 545 17K –
FIRST TR EXCHNG TRADED FD VI FT VEST INTER ETF 4K 206K –
FIRST TR EXCHNG TRADED FD VI FT VEST INTER EQ ETF 1K 51K –
FIRST TR EXCHNG TRADED FD VI FT VEST U.S ETF 4K 107K –
FIRST TR EXCHNG TRADED FD VI FT VEST U.S EQT ETF 998 29K –
FIRST TR EXCHNG TRADED FD VI FT VEST U.S EQT ETF 284 8K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT ETF 531 15K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT ETF 3K 71K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT ETF 510 13K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT ETF 4K 89K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT ETF 553 12K –
FIRST TR HIGH INCOME LONG / COM COM 883 72K –
GILEAD SCIENCES INC COM pt 549K 0 –
INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB ETF 2K 87K –
INVESCO EXCH TRD SLF IDX FD INVT GRD DEFSV ETF 827 34K –
ISHARES BITCOIN TR SHS ETF 449 13K –
KRANESHARES CSI CHINA INT pt 812K 0 –
MARVELL TECHNOLOGY INC COM pt 1M 0 –
META PLATFORMS INC CLASS A pt 250K 0 –
META PLATFORMS INC CLASS A pt 380K 0 –
NIKE INC COM CL B pt 1M 0 –
NUVEEN CA QUALTY MUN INCOME COM COM 4K 348K –
NUVEEN DYNAMIC MUN OPPORTUNI COM SHS COM 657 61K –
NUVEEN QUALITY MUNCP INCOME COM COM 4K 343K –
NVIDIA CORP COM pt 338K 0 –
ON SEMICONDUCTOR CORP COM pt 563K 0 –
PALO ALTO NETWORKS INC COM pt 493K 0 –
PFIZER INC pt 250K 0 –
PROLOGIS pt 624K 0 –
RIVIAN AUTOMOTIVE INC CLASS A pt 1M 0 –
SALESFORCE COM pt 3M 0 –
SBA COMMUNICATIONS CORP pt 2M 0 –
SPDR S&P 500 ETF pt 39M 0 –
TESLA INC pt 2M 0 –
UBER TECHNOLOGIES INC pt 387K 0 –
WALT DISNEY CO pt 1M 0 –
WELLS FARGO CO NEW PERP PFD CNV A PFD 4K 4K –