SECURE INVESTMENT MANAGEMENT, LLC
Adviser information for SECURE INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 20th, 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 | Arizona, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 12 |
| Licensed Agents of an Insurance Company | 12 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 614 | $32.4M |
| Non-Discretionary | 0 | $0 |
| Total | 614 | $32.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 426 | $29.0M |
| HNW Individuals | <5 | $2.5M |
| 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 | $900,000 |
| 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 | $6,000 |
| 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 | Financial planningPortfolio management for individuals and/or small businessesADVICE REGARDING REITS |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-80752 |
|---|---|
| SEC ERA File Number | 801-80752 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 141195 |
| Legal Entity Identifier | None |
Principal Office
7400 N ORACLE RDSUITE 150-418
TUCSON
AZ
United States
Monday - Friday, CALL FOR AN APPOINTMENT
Tel: 520-333-4719, Fax: 520-333-4331
Websites
Chief Compliance Officer
MATTHEW ROTHCHILD
1350 COLUMBIA AVE.
SUITE 300
SAN DIEGO
CA
United States
Tel:
619-269-6082
Fax:
619-278-0050
M****************@**********M
(Full email address available in API data)
Regulatory Contact
JARED KEATING
7400 N ORACLE RD
SUITE 150-418
TUCSON
AZ
United States
Tel:
5203334719
J*******@*****************************M
(Full email address available in API data)
Industry Affiliates
| INSURANCE MARKETING SOLUTIONS, LLC | Insurance company or agency |
| JD MELLBERG FINANCIAL | Insurance company or agency |
| RETIREMENT INCOME, LLC | Insurance company or agency |
| SECURE INCOME MANAGEMENT | Insurance company or agency |
| URSUS FINANCIAL GROUP | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MELLBERG, JOSHUA, DAVID | Individual | – | MANAGING MEMBER/OWNER | 06/2006 | > 75% |
| BOHON, OTTO, RAMON | Individual | – | CHIEF OPERATING OFFICER | 08/2021 | < 5% |
| ROTHCHILD, MATTHEW, DAVID | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |