Hedge Fund Database

LIQUID STRATEGIES, LLC

Adviser information for LIQUID STRATEGIES, LLC last updated from Form ADV on March 29th, 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 15
Investment Advisory/Research 4
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 2
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 14 $522.7M
Non-Discretionary 0 $0
Total 14 $522.7M

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 9 $416.9M
Business development companies 0 $0
Pooled investment vehicles 1 $7.9M
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 <5 $97.8M
Type Number
No. of Non-RAUM Clients 2
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 investment companiesSUB ADVISOR FOR OTHER INVESTMENT ADVISORA
Compensation % of AUM

Identifiers

SEC RIA File Number 801-79222
SEC ERA File Number 801-79222
SEC CIK Numbers 1774727
SEC CRD Numbers 170107
Legal Entity Identifier None

Principal Office

3550 LENOX ROAD NE
SUITE 2550
ATLANTA
GA
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 800-970-2725, Fax: 770-350-8701

Websites

www.overlayshares.com www.lsfunds.com www.linkedin.com/company/liquid-strategies-llc/

Chief Compliance Officer

PETER WELCH
CORPORATE CONTROLLER
3550 LENOX ROAD NE
SUITE 2550
ATLANTA
GA
United States
Tel: 770-350-8720
Fax: 770-350-8701
(Full email address available in API data)

Regulatory Contact

ADAM STEWART
PARTNER, PORTFOLIO MANAGER
3550 LENOX ROAD NE
SUITE 2550
ATLANTA
GA
United States
Tel: 770-350-8700
Fax: 770-350-8701
(Full email address available in API data)

Industry Affiliates

BISON ADVISORS Other investment adviser, including financial planners
BISON WEALTH, LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
TETON PRIVATE INCOME FUND, LP PRIVATE INCOME FUND $7.9M $0.3M 10

Control Persons

Name Type Entity Title Since Ownership
BALL, GEORGE, BRADLEY Individual – MANAGING MEMBER/CEO 12/2013 25-50%
STEWART, ADAM, CLEMENT Individual – MEMBER 12/2013 5-10%
WELCH, PETER, FRANCIS Individual – CCO AND CONTROLLER 09/2016 < 5%
GIBSON, CLAYTON, SHAWN Individual – MEMBER, CIO 12/2013 10-25%
BOLLER, JUSTIN, CALDWELL Individual – MEMBER 07/2019 < 5%
EAST ASSET MANAGEMENT Domestic Entity – MEMBER 12/2021 10-25%
PEGULA, TERRENCE, M Individual EAST ASSET MANAGEMENT MEMBER 12/2021 50-75%
PEGULA, KIM, S Individual EAST ASSET MANAGEMENT MEMBER 12/2021 50-75%

No. Employees, Historic

2010020192020202120222023202420259 on 12/20/201911 on 3/23/202011 on 11/6/20209 on 2/15/20219 on 6/4/20219 on 8/9/20219 on 3/3/20229 on 11/18/202210 on 3/17/202315 on 3/29/2024

RAUM, Historic

700M350M02019202020212022202320242025493648098 on 12/20/2019487760108 on 3/23/2020487760108 on 11/6/2020458806269 on 2/15/2021458806269 on 6/4/2021458806269 on 8/9/2021589037956 on 3/3/2022589037956 on 11/18/2022636898040 on 3/17/2023522670737 on 3/29/2024

No. Clients, Historic

2010020192020202120222023202420258 on 12/20/20196 on 3/23/20206 on 11/6/20206 on 2/15/20216 on 6/4/20216 on 8/9/20217 on 3/3/20227 on 11/18/202213 on 3/17/202314 on 3/29/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABERDEEN PHYSICAL GOLD SHARES COM 7M 327K –
FRANKLIN FTSE JAPAN ETF COM 7M 246K –
INVESCO QQQ TR UNIT SER 1 COM 8M 17K –
ISHARES CORE MSCI EAFE ETF COM 14M 194K –
ISHARES CORE MSCI EMERGING MAR COM 4M 66K –
ISHARES CORE S&P SMALL CAP ETF COM 11M 99K –
ISHARES CORE US AGGREGATE BOND COM 47M 481K –
ISHARES NATIONAL MUNI BOND ETF COM 23M 213K –
ISHARES TR 7 10 YR TRSY BD COM 5M 54K –
SPDR PORTFOLIO S&P 500 ETF COM 8M 120K –
SPDR SER TR PORTFOLIO S&P 600 COM 7M 171K –
VANGUARD EUROPEAN STOCK INDEX COM 7M 107K –
VANGUARD S&P 500 INDEX ETF COM 191M 382K –
VANGUARD S-T CORP BOND ETF COM 43M 551K –