Lockton Investment Advisors, LLC (Kansas City)

Name: Lockton Investment Advisors, LLC
Address: 444 W 47 Th Street, Kansas City, MO, 64112
Telephone: 816-960-9000

Lockton Investment Advisors, LLC is a pension cosultant based in Kansas City. It manages $5.13 billion of regulatory assets for 205 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Arizona, California, Colorado, and 30 other states.

Lockton Investment Advisors provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Lockton Investment Advisors: assets under management

The assets under management (AUM) of Lockton Investment Advisors, LLC is $5.13 billion. The firm's AUM has grown by 41% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $478.65 million in discretionary accounts and $4.65 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $9.2 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $30.41 million.

Investments

The firm invests in investment and business development companies the most. They account for 81% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 15% of the firm’s portfolio. Investments in other assets form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Lockton Investment Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and performance-based fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Pamela Ann Popp serves?

The only and largest group of clients of Pamela Ann Popp is pension and profit sharing plans with 205 clients and $5.13 billion of assets under management. Among the 8 most similar advisory firms, Lockton Investment Advisors has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $5.13 billion for 205 clients. None of the firm’s clients are foreign persons or businesses.

Lockton Investment Advisors doesn't advise any private funds.

Careers at Lockton Investment Advisors, LLC

The company employs 123 people that are either part- or full-time employees. 84 percent of the employees work as investment advisers or researchers. 103 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Pamela Ann Popp has been acting as President since 1 Sep 2014. Karen Fischer Prange joined the executive team most recently as the Cco.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Dba Lockton Companies Lockton Insurance Agency	Corporate unit holder	1 Apr 2007	75% - 100%	48-0763803
Inc. Lockton Insurance Agency	Managing member	1 Apr 2007	75% - 100%	48-0763803
Shane Christopher Brethowr	Chief compliance officer/chief financial officer	1 Apr 2007	Other	5136001
David William Altimont	Senior vice president/executive committee member	1 Aug 2007	Other	1253291
Thomas Albert Clark	Vice president/executive committee member	1 Aug 2007	Other	2816310
Robert Lynn Croy	Senior vice president/executive committee member	1 Aug 2007	Other	1109262
Daniel John Nemmers	President/executive committee member	1 Aug 2007	Other	1002629
Harry Elliott James	Senior vice president/executive committee member	1 Aug 2007	Other	1151498
Thomas Albert Clark	President/executive committee member	1 Jan 2011	Other	2816310
Daniel John Nemmers	Executive vice president/executive committee member	1 Jan 2011	Other	1002629
Douglas Morris	Vice president/executive committee member	1 May 2013	Other	1735746
Pamela Ann Popp	President	1 Sep 2014	Other	2715434
Jessica Lynn Skinner	Cco	1 Apr 2015	Other	5460167
Llc Dba Lockton Companies Lockton Insurance Agency	Corporate unit holder	1 May 2016	75% - 100%	48-0763803
Karen Fischer Prange	Cco	1 Aug 2016	Other	2890728

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Lockton	Shareholder	1 Jul 2001	75% - 100%	90-0007886
Inc. Lockton	Sole member	1 May 2016	75% - 100%	90-0007886
Llc Lockton Operating Companies	Corporate unit holder	1 May 2016	75% - 100%	81-2523994
Llc Lockton Partners	Corporate unit holder	1 May 2016	75% - 100%	81-2119527
Llc Lpcm	Corporate unit holder	1 May 2016	75% - 100%	81-2210135

Based in Kansas City

The principal office where Lockton Investment Advisors, LLC performs its advisory services is located at 444 W 47 Th Street, Kansas City, MO 64112, which is also the mailing address of the firm. An additional office of the firm is in Campbell, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 816-960-9000 or by fax 816-960-9099. The normal business hours are 8 am to 5 pm on Monday - Friday. You can find more information about the New York firm at lockton.com/.