ON INVESTMENT MANAGEMENT CO
Adviser information for ON INVESTMENT MANAGEMENT CO last updated from Form ADV on March 28th, 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 | 206 |
|---|---|
| Investment Advisory/Research | 206 |
| Registered Broker-Dealer Representatives | 206 |
| Registered State Investment Advisers | 206 |
| Licensed Agents of an Insurance Company | 206 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,114 | $654.7M |
| Non-Discretionary | 13,816 | $1.5B |
| Total | 15,930 | $2.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 8,009 | $1.5B |
| HNW Individuals | 439 | $633.0M |
| 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 | 208 | $14.8M |
| Charitable organizations | 15 | $11.3M |
| 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 | 17 | $28.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 275 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)MORNINGSTAR INVESTMENT SERVICES LLC, SEI, ASSETMARK, BRINKER CAPITAL, BNY MELLON ADVISORS, INC, SYMMETRY PARTNERS, ENVESTNET |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerRegistered representative of a broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 654.7M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ADVISOR AS PORTFOLIO MANAGER | ENVESTNET ASSET MANAGEMENT, INC |
| UNIFIED MANAGED ACCOUNT PROGRAM | ENVESTNET ASSET MANAGEMENT, INC |
| MUTUAL FUND CHOICE | ENVESTNET PORTFOLIO SOLUTIONS |
Identifiers
| SEC RIA File Number | 801-7941 |
|---|---|
| SEC ERA File Number | 801-7941 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105662 |
| Legal Entity Identifier | None |
Principal Office
ONE FINANCIAL WAYCINCINNATI
OH
United States
Monday - Friday, 8:30 AM EST - 5:00 PM EST
Tel: 855-262-0913, Fax: 513-794-4604
Websites
Chief Compliance Officer
ANDREW J. VANHOY
VICE PRESIDENT, ONESCO COMPLIANCE
ONE FINANCIAL WAY
CINCINNATI
OH
United States
Tel:
1-513-797-3443
Fax:
1-513-794-4703
A************@***************M
(Full email address available in API data)
Regulatory Contact
EVAN M. BIHL
DIRECTOR, FIELD COMPLIANCE
ONE FINANCIAL WAY
CINCINNATI
OH
United States
Tel:
1-513-797-3412
Fax:
1-513-794-4703
E********@***************M
(Full email address available in API data)
Industry Affiliates
| AUGUSTAR DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| OHIO NATIONAL INSURANCE AGENCY, INC. | Insurance company or agency |
| OHIO NATIONAL INVESTMENTS INC | Other investment adviser, including financial planners |
| THE O.N. EQUITY SALES COMPANY | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CONSTELLATION INSURANCE, INC. | Domestic Entity | – | PARENT COMPANY | 11/2023 | > 75% |
| CONSTELLATION INSURANCE HOLDINGS, INC. | Domestic Entity | CONSTELLATION INSURANCE, INC. | SHAREHOLDER | 04/2022 | > 75% |
| CONSTELLATION INSURANCE, INC. | Domestic Entity | CONSTELLATION INSURANCE, INC. | DIRECT OWNER | 09/2023 | > 75% |
| VANHOY, ANDREW, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2013 | < 5% |
| WESTBROCK, NANCY, M | Individual | – | CHAIRMAN, PRESIDENT & CEO | 02/2023 | < 5% |
| CAISSE DE D�P�T ET PLACEMENT DU QU�BEC | Foreign Entity | CDPQ DG/CR-780 INC. | OWNER | 04/2022 | > 75% |
| ONTARIO TEACHERS' PENSION PLAN BOARD | Foreign Entity | 2720718 ONTARIO LIMITED | OWNER | 04/2022 | > 75% |
| CDPQ GESTION FONDS 780 INC. | Foreign Entity | CDPQ FONDS 780 SEC | GENERAL PARTNER | 04/2022 | |
| CDPQ DG/CR-780 INC. | Foreign Entity | CDPQ FONDS 780 SEC | LIMITED PARTNER | 04/2022 | > 75% |
| CDPQ FONDS 780 SEC | Foreign Entity | CONSTELLATION INSURANCE, LP | LIMITED PARTNER | 04/2022 | 25-50% |
| 2720718 ONTARIO LIMITED | Foreign Entity | CONSTELLATION INSURANCE, LP | LIMITED PARTNER | 04/2022 | 25-50% |
| CONSTELLATION INSURANCE GP LLC | Domestic Entity | CONSTELLATION INSURANCE, LP | GENERAL PARTNER | 04/2022 | |
| ONLH HOLDINGS GP LLC | Domestic Entity | CONSTELLATION INSURANCE HOLDINGS, INC. | GENERAL PARTNER | 04/2022 | |
| CONSTELLATION INSURANCE, LP | Domestic Entity | ONLH HOLDINGS LP | LIMITED PARTNER | 04/2022 | > 75% |
| 11004883 CANADA INC. | Foreign Entity | CONSTELLATION INSURANCE HOLDINGS, INC. | HOLDER OF CLASS B COMMON STOCK | 04/2022 | 25-50% |
| ONLH HOLDINGS LP | Domestic Entity | CONSTELLATION INSURANCE HOLDINGS, INC. | HOLDER OF CLASS B COMMON STOCK | 04/2022 | 50-75% |
| ONLH HOLDINGS LP | Domestic Entity | CONSTELLATION INSURANCE HOLDINGS, INC. | HOLDER OF CLASS A COMMON STOCK | 04/2022 | > 75% |
| MACKINTOSH, JOHN, ADAM | Individual | – | DIRECTOR | 09/2022 | < 5% |