COLLIERS SECURITIES LLC
Adviser information for COLLIERS SECURITIES LLC last updated from Form ADV on March 18th, 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 | 124 |
|---|---|
| Investment Advisory/Research | 19 |
| Registered Broker-Dealer Representatives | 84 |
| Registered State Investment Advisers | 30 |
| Licensed Agents of an Insurance Company | 19 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 85 | $35.7M |
| Non-Discretionary | 970 | $226.9M |
| Total | 1,055 | $262.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 737 | $142.7M |
| HNW Individuals | 47 | $91.2M |
| 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 | $1.3M |
| Charitable organizations | <5 | $20.5M |
| 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 | $6.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agentRegistered municipal advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 35.7M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Principal Office
90 SOUTH SEVENTH STREETSUITE 4300
MINNEAPOLIS
MN
United States
Monday - Friday, 8 AM TO 5 PM
Tel: 612-376-4000, Fax: 612-376-4102
Chief Compliance Officer
THOMAS STEICHEN
EVP, GENERAL COUNSEL
90 SOUTH SEVENTH STREET, SUITE 4300
MINNEAPOLIS
MN
United States
Tel:
612-376-4060
Fax:
612-376-4102
T***********@***********M
(Full email address available in API data)
Industry Affiliates
| COLLIERS FUNDING LLC | Real estate broker or dealer |
| COLLIERS INSURANCE AGENCY LLC | Insurance company or agency |
| COLLIERS MORTGAGE LLC | Real estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HABLE, DEBORAH MARIE | Individual | – | OPERATIONS MANAGER | 01/2001 | < 5% |
| JURAN, DAVID BRAMLEY | Individual | – | CHAIRMAN OF THE BOARD | 05/2020 | < 5% |
| JACOBSON, JEFFREY DUANE | Individual | – | EVP, CHIEF OPERATING OFFICER & BOARD MEMBER | 05/2020 | < 5% |
| POLSKY, ALAN DAVID | Individual | – | EVP, BOARD MEMBER | 05/2020 | < 5% |
| JOHNSON, MARK KENNETH | Individual | – | VP, BRANCH MANAGER, CHIEF SUPERVISION OFFICER | 03/2011 | < 5% |
| MULLEN, DAVID THOMAS | Individual | – | EVP, BOARD MEMBER | 05/2020 | < 5% |
| STEICHEN, THOMAS FRANCIS | Individual | – | EVP, CCO & GENERAL COUNSEL, BOARD MEMBER | 05/2020 | < 5% |
| COLLIERS INTERNATIONAL HOLDINGS (USA), INC. | Domestic Entity | COLLIERS MORTGAGE HOLDINGS LLC | INDIRECT OWNER | 05/2020 | > 75% |
| COLLIERS INTERNATIONAL GROUP INC. | Foreign Entity | COLLIERS INTERNATIONAL HOLDINGS (USA), INC. | ULTIMATE OWNER | 05/2020 | > 75% |
| COLLIERS MORTGAGE HOLDINGS LLC | Foreign Entity | – | DIRECT OWNER | 05/2020 | > 75% |
| HINIKER, JAMES JOHN III | Individual | – | SVP | 05/2020 | < 5% |
| NORRIS, ROGER ALLAN | Individual | – | SVP, REGISTERED OPTIONS PRINCIPAL | 06/2020 | < 5% |
| SWENSON, TRAVIS JACOB | Individual | – | CHIEF FINANCIAL OFFICER & FINOP | 10/2022 | < 5% |