ENVESTNET RETIREMENT SOLUTIONS, LLC
Adviser information for ENVESTNET RETIREMENT SOLUTIONS, LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 28 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 4,936 | $14.3B |
| Non-Discretionary | 0 | $0 |
| Total | 4,936 | $14.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1,274 | $4.3B |
| Pension and profit sharing plans | 3,628 | $10.0B |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 34 | $85.5M |
| 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 | 4946 |
| No. of Non-U.S. 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 servicesSelection of other advisers (including private fund managers)INTERACTIVE INTERNET-BASED ASSET ALLOCATION MODELS & MUTUAL FUNDS |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | RESEARCH/PORT MGT SOFTWARE & DATA AGGREGATION |
Identifiers
| SEC RIA File Number | 801-79855 |
|---|---|
| SEC ERA File Number | 801-79855 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 171570 |
| Legal Entity Identifier | None |
Principal Office
ONE NORTH WACKER DRIVESUITE 1925
CHICAGO
IL
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 1-866-318-4015, Fax: None
Websites
www.envestnetrs.com
www.envestnet.com
envestnet.blog/
www.linkedin.com/company/163646/
twitter.com/envintel?lang=en
www.instagram.com/envestnet/
vimeo.com/envestnet
www.facebook.com/envestnet/
www.investpmc.com
www.youtube.com/channel/ucsksh09e27bkbsxuseg2jqw
retirecomplete.envestnet.com/
www.401kplans.com/
Chief Compliance Officer
DEBRA DEVOE
CCO-ENVESTNET, INC./MANAGING DIRECTOR
ONE NORTH WACKER DRIVE
SUITE 1925
CHICAGO
IL
United States
Tel:
312-827-7950
D**********@************M
(Full email address available in API data)
Regulatory Contact
MICHAEL G. LUGOWSKI
VP, COMPLIANCE DIRECTOR
ONE NORTH WACKER DRIVE
SUITE 1925
CHICAGO
IL
United States
Tel:
312-827-7055
M***************@************M
(Full email address available in API data)
Industry Affiliates
| ATEGENOS CAPITAL, LLC | Other investment adviser, including financial planners |
| ENVESTNET EMBEDDED ADVISORY, INC. | Other investment adviser, including financial planners |
| ENVESTNET PMC | Other investment adviser, including financial planners |
| ENVESTNET PORTFOLIO SOLUTIONS, INC. | Other investment adviser, including financial planners |
| ENVESTNET SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FDX ADVISORS, INC. | Other investment adviser, including financial planners |
| FIDX MARKETS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| QRG CAPITAL MANAGEMENT, INC. | 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 |
|---|---|---|---|---|---|
| ENVESTNET, INC. | Domestic Entity | – | SHAREHOLDER | 11/2018 | > 75% |
| DEVOE, DEBRA, JANE | Individual | – | SVP/CHIEF COMPLIANCE OFFICER/ MANAGING DIRECTOR | 05/2019 | < 5% |
| PREUS, ERIK, ROBERT | Individual | – | PRESIDENT | 01/2021 | < 5% |
| MURRAY, SEAN, SEAMUS | Individual | – | HEAD, ENVESTMENT RETIREMENT SOLUTIONS | 12/2022 | < 5% |
| O'BRIEN, SHELLY, S | Individual | – | CHIEF LEGAL OFFICER/GENERAL COUNSEL/SECRETARY | 12/2022 | < 5% |
| D'AURIA, DANA, MARIE | Individual | – | CO-CHIEF INVESTMENT OFFICER | 12/2022 | < 5% |
| SIPP, THOMAS, MICHAEL | Individual | – | EVP, ENVESTNET BUSINESS LINES | 12/2022 | < 5% |
| THOMAS, BRANDON, ROCKWELL | Individual | – | CO-CIO | 12/2022 | < 5% |
| WARREN, JOSHUA, B. | Individual | – | CHIEF FINANCIAL OFFICER | 01/2024 | < 5% |
| FOX, JAMES, LAWRENCE | Individual | – | INTERIM CHIEF EXECUTIVE OFFICER | 04/2024 | < 5% |