LIEBLONG & ASSOCIATES, INC.
Adviser information for LIEBLONG & ASSOCIATES, INC. last updated from Form ADV on December 22nd, 2023. 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 | SEPTEMBER |
| Legal Location | Arkansas, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 117 | $170.5M |
| Non-Discretionary | 0 | $0 |
| Total | 117 | $170.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 44 | $13.2M |
| HNW Individuals | 66 | $54.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $92.7M |
| Pension and profit sharing plans | <5 | $6.7M |
| 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 | <5 | $3.8M |
| 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 | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-78968 |
|---|---|
| SEC ERA File Number | 801-78968 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 42578 |
| Legal Entity Identifier | None |
Principal Office
10809 EXECUTIVE CENTER DRIVESUITE 117
LITTLE ROCK
AR
United States
Monday - Friday, 8AM - 4PM
Tel: 501-219-2003, Fax: 501-219-1162
Chief Compliance Officer
MARY ELLEN WILLIAMS
CHIEF COMPLIANCE OFFICER
10809 EXECUTIVE CENTER DRIVE
SUITE 117
LITTLE ROCK
AR
United States
Tel:
501-219-2003
Fax:
501-219-1162
M********@*********************M
(Full email address available in API data)
Regulatory Contact
ALEX RAY LIEBLONG
PRESIDENT
10809 EXECUTIVE CENTER DRIVE
SUITE 117
LITTLE ROCK
AR
United States
Tel:
501-219-2003
Fax:
501-219-1162
L*******@*********************M
(Full email address available in API data)
Industry Affiliates
| KEY COLONY MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| KEY COLONY FUND, L.P. | Hedge Fund | $92.7M | $2.0M | 17 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LIEBLONG, ALEX RAY | Individual | – | PRESIDENT/CHIEF EXECUTIVE OFFICER, LIEBLONG & ASSOCIATES, INC. | 05/1997 | > 75% |
| LIEBLONG, JASON RAY | Individual | – | VICE PRESIDENT, LIEBLONG & ASSOCIATES, INC. | 01/1998 | < 5% |
| WILLIAMS, MARY ELLEN | Individual | – | VP/CFO/FINOP/SEC/TREAS/CCO/OPTIONS PRINCIPAL/MUNI PRINCIPAL, LIEBLONG & ASSOCIATES, INC. | 05/2003 | < 5% |
| FIVEASH, VALERIE M | Individual | – | VICE PRESIDENT | 12/2023 | < 5% |