HUB INVESTMENT ADVISORS, INC
Adviser information for HUB INVESTMENT ADVISORS, INC last updated from Form ADV on March 21st, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Nebraska, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 398 | $290.0M |
| Non-Discretionary | 95 | $1.2B |
| Total | 493 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 61 | $10.6M |
| HNW Individuals | 76 | $276.7M |
| 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 | 72 | $1.2B |
| 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 | 8 | $8.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
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 |
Identifiers
| SEC RIA File Number | 801-76898 |
|---|---|
| SEC ERA File Number | 801-76898 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 164600 |
| Legal Entity Identifier | None |
Principal Office
11516 MIRACLE HILLS DR.SUITE 100
OMAHA
NE
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 402-964-5400, Fax: 402-963-4084
Chief Compliance Officer
MARIANE LEE
CHIEF COMPLIANCE OFFICER
150 NORTH RIVERSIDE PLAZA, 17TH FLOOR
CHICAGO
IL
United States
Tel:
917-858-2854
M**********@*******************M
(Full email address available in API data)
Regulatory Contact
SARAH SIMMON
300 W. BROADWAY
SUITE 200
COUNCIL BLUFFS
IA
United States
Tel:
712-329-3128
S***********@*******************M
(Full email address available in API data)
Industry Affiliates
| GLOBAL RETIREMENT PARTNERS LLC | Other investment adviser, including financial planners |
| HUB INTERNATIONAL INVESTMENT SERVICES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MILLENNIUM ADVISORY SERVICES, INC. | Other investment adviser, including financial planners |
| RPA FINANCIAL, LLC | Other investment adviser, including financial planners |
| TAYLOR ADVISORS, INC., A HUB INTERNATIONAL COMPANY | Other investment adviser, including financial planners |
| TCG ADVISORS, LLC A HUB INTERNATIONAL COMPANY | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HUB INTERNATIONAL LIMITED | Domestic Entity | – | SOLE SHAREHOLDER | 12/2019 | > 75% |
| Sokolic, Adam | Individual | – | VICE PRESIDENT | 12/2019 | < 5% |
| HOCKEY INTERMEDIATE INC. | Domestic Entity | HUB INTERNATIONAL LIMITED | SHAREHOLDER | 10/2013 | > 75% |
| HOCKEY PARENT INC. | Domestic Entity | HOCKEY INTERMEDIATE INC. | SHAREHOLDER | 10/2013 | > 75% |
| HOCKEY PARENT HOLDINGS L.P. | Domestic Entity | HOCKEY PARENT INC. | SHAREHOLDER | 10/2013 | > 75% |
| HOCKEY INVESTMENTS L.P. | Domestic Entity | HOCKEY PARENT HOLDINGS L.P. | LIMITED PARTNER | 10/2013 | 50-75% |
| HOCKEY PARENT HOLDINGS GP, LLC | Domestic Entity | HOCKEY PARENT HOLDINGS L.P. | GENERAL PARTNER | 10/2013 | |
| HOCKEY INVESTMENTS L.P. | Domestic Entity | HOCKEY PARENT HOLDINGS GP, LLC | MANAGING MEMBER | 10/2013 | > 75% |
| LEE, MARIANE, ASHLEY | Individual | – | INTERIM CHIEF COMPLIANCE OFFICER | 12/2022 | < 5% |
| SHARP, JEFFREY, DONALD | Individual | – | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 12/2022 | < 5% |