THE GLEASON GROUP, INC.
Adviser information for THE GLEASON GROUP, INC. last updated from Form ADV on March 11th, 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 | Kentucky, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 900 | $758.9M |
| Non-Discretionary | 46 | $26.6M |
| Total | 946 | $785.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 140 | $49.7M |
| HNW Individuals | 104 | $699.0M |
| 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 | 11 | $22.1M |
| 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 | $14.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-96195 |
|---|---|
| SEC ERA File Number | 801-96195 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 175104 |
| Legal Entity Identifier | None |
Principal Office
9418 NORTON COMMONS BOULEVARDSUITE 100
PROSPECT
KY
United States
Monday - Friday, 8:00AM - 5:30PM
Tel: (502) 882-7300, Fax: (502) 882-7287
Chief Compliance Officer
ANDREA N. GLEASON
CHIEF FINANCIAL OFFICER
9418 NORTON COMMONS BOULEVARD
PROSPECT
KY
United States
Tel:
(502) 882-7300
Fax:
(502) 882-7287
A*****@****************T
(Full email address available in API data)
Regulatory Contact
MAGGIE YOUNG
DIRECTOR OF OPERATIONS
9418 NORTON COMMONS BOULEVARD
PROSPECT
KY
United States
Tel:
(502) 882-7300
Fax:
(502) 882-7287
M*****@****************T
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GLEASON, ANDREA, NICOLE | Individual | – | CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER | 05/2015 | < 5% |
| GLEASON, GAVIN, T. | Individual | – | CHIEF EXECUTIVE OFFICER/PRESIDENT | 05/2015 | > 75% |