HICKORY ASSET MANAGEMENT, INC.
Adviser information for HICKORY ASSET MANAGEMENT, INC. last updated from Form ADV on March 7th, 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 | Ohio, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 764 | $202.7M |
| Non-Discretionary | 18 | $21.9M |
| Total | 782 | $224.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 210 | $73.4M |
| HNW Individuals | 53 | $139.2M |
| 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 | <5 | $12.1M |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-78647 |
|---|---|
| SEC ERA File Number | 801-78647 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 167955 |
| Legal Entity Identifier | None |
Principal Office
9930 JOHNNYCAKE RIDGE ROADSUITE 2B
CONCORD
OH
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 440-358-1330, Fax: 440-350-1465
Chief Compliance Officer
RYAN R. ROBAUGH
CHIEF COMPLIANCE OFFICER
9930 JOHNNYCAKE RIDGE ROAD
SUITE 2B
CONCORD
OH
United States
Tel:
440-358-1330
R***@*************************M
(Full email address available in API data)
Regulatory Contact
DANIEL G. LESCOEZEC
PRESIDENT
9930 JOHNNYCAKE RIDGE ROAD
SUITE 2B
CONCORD
OH
United States
Tel:
440-358-1330
D**@*************************M
(Full email address available in API data)
Industry Affiliates
| AMERICAN FINANCIAL SOLUTIONS, INC. | Insurance company or agency |
| ARDENTRUST COMPANY | Trust company |
| BEACON FINANCIAL GROUP | Other investment adviser, including financial planners |
| BEDELL FRAZIER INVESTMENT COUNSELLING, LLC. | Other investment adviser, including financial planners |
| BERNARD R. WOLFE & ASSOCIATES, INC. | Insurance company or agency |
| CAPITAL PLANNING ADVISORS LLC | Other investment adviser, including financial planners |
| COMPASS CAPITAL MANAGEMENT LLC | Insurance company or agency |
| GROVE POINT ADVISORS, LLC | Other investment adviser, including financial planners |
| GROVE POINT INVESTMENTS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| HEDEKER WEALTH LLC | Other investment adviser, including financial planners |
| JOULE FINANCIAL | Other investment adviser, including financial planners |
| KESTRA ADVISORY SERVICES, LLC | Other investment adviser, including financial planners |
| KESTRA INSTITUTIONAL SERVICES, LLC | Other investment adviser, including financial planners |
| KESTRA INSURANCE SERVICES, LLC | Insurance company or agency |
| KESTRA INVESTMENT SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| KESTRA PRIVATE WEALTH SERVICES, LLC | Other investment adviser, including financial planners |
| OKLAHOMA FINANCIAL CENTER, INC. | Insurance company or agency |
| PROVISE MANAGEMENT GROUP, LLC | Other investment adviser, including financial planners |
| RITTER DANIHER FINANCIAL ADVISORY LLC | Other investment adviser, including financial planners |
| VECTOR INSURANCE SERVICES, LLC | Insurance company or agency |
| VECTOR WEALTH MANAGEMENT | 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 |
|---|---|---|---|---|---|
| LESCOEZEC, DANIEL, GILBERT | Individual | – | PRESIDENT | 12/2002 | < 5% |
| ROBAUGH, RYAN, ROBERT | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2007 | < 5% |
| BLUESPRING WEALTH PARTNERS, LLC | Domestic Entity | – | OWNER | 07/2019 | > 75% |
| POER, JAMES, LYNN | Individual | – | VICE PRESIDENT | 07/2019 | < 5% |
| BENNETT, JOEL, VAN | Individual | – | VICE PRESIDENT | 07/2019 | < 5% |
| NORWOOD, ROBERT, BREDT | Individual | – | VICE PRESIDENT & ASSISTANT SECRETARY | 07/2019 | < 5% |
| YIN, YIN | Individual | – | SECRETARY | 07/2019 | < 5% |
| MARKHAM, LORI, ANN | Individual | – | ASSISTANT SECRETARY | 07/2019 | < 5% |
| KESTRA FINANCIAL, INC. | Domestic Entity | BLUESPRING WEALTH PARTNERS, LLC | OWNER | 07/2019 | > 75% |
| KESTRA ADVISOR SERVICES HOLDING C, INC. | Domestic Entity | KESTRA FINANCIAL, INC. | OWNER | 06/2014 | > 75% |
| KESTRA ADVISOR SERVICES HOLDING B, INC. | Domestic Entity | KESTRA ADVISOR SERVICES HOLDING C, INC. | OWNER | 06/2014 | > 75% |
| KESTRA ADVISOR SERVICES HOLDING A, INC. | Domestic Entity | KESTRA ADVISOR SERVICES HOLDING B, INC. | OWNER | 06/2014 | > 75% |
| KINGFISHER HOLDING B, INC. | Domestic Entity | KESTRA ADVISOR SERVICES HOLDING A, INC. | OWNER | 06/2019 | > 75% |
| KINGFISHER HOLDING A, INC. | Domestic Entity | KINGFISHER HOLDING B, INC. | OWNER | 06/2019 | > 75% |
| KINGFISHER HOLDING, L.P. | Domestic Entity | KINGFISHER HOLDING A, INC. | OWNER | 06/2019 | > 75% |
| WARBURG PINCUS FINANCIAL SECTOR, L.P. | Domestic Entity | KINGFISHER HOLDING, L.P. | LIMITED PARTNER | 06/2019 | 25-50% |
| KINGFISHER HOLDING GP, LLC | Domestic Entity | KINGFISHER HOLDING, L.P. | GENERAL PARTNER | 06/2019 | |
| Osborne, Angela, Maren | Individual | – | CHIEF OPERATING OFFICER | 07/2021 | < 5% |