Lockwell Investments, LLC (New York)

Name: Lockwell Investments, LLC
Address: 60 East 42 Nd Street, New York, NY, 10165 0006
Telephone: 646-380-8206

Lockwell Investments, LLC is an investment adviser to an investment company based in New York. It manages $15.03 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of Florida and New York.

Lockwell Investments provides portfolio management for investment companies, portfolio management for businesses and institutional clients, 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.

Lockwell Investments: assets under management

The assets under management (AUM) of Lockwell Investments, LLC is $15.03 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 840% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $15.03 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.76 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Lockwell Investments, LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Lockwell Investments, LLC

Lockwell Investments, LLC is owned by Dennis Francis Shea. Richard Fred Glass joined the executive team most recently as the Managing Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Heidi Marie Blalock	Managing member and chief compliance officer	1 Jun 2009	75% - 100%	5675762
Brad Alan Blalock	Member	1 Aug 2010	Other	2973154
Richard Fred Glass	Member	1 Aug 2010	Other	2169969
Mary Schafer	Owner	1 Aug 2010	Other	2888149
Cbjr Properties	Owner	1 Oct 2010	25% - 50%	27-1844662
Four Cypress Investments Lp	Owner	1 Oct 2010	25% - 50%	27-1844662
Richard Fred Glass	Managing member	1 Nov 2010	50% - 75%	2169969
Jennifer Rebecca Mcginnis	Chief compliance officer/chief operating officer	1 Nov 2010	Other	5872634
Dennis Francis Shea	Owner	1 Nov 2010	Other	1410202
Stuart Henry Bohart	Owner	1 Nov 2010	Other	2603191

Based in New York

The principal office where Lockwell Investments, LLC performs its advisory services is located at 60 East 42 Nd Street, New York, NY 10165 0006, which is also the mailing address of the firm. An additional office of the firm is in Miramar Beach, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 646-380-8206 or by fax 646-430-8343. The normal business hours are 8:30am- 5:00pm on Monday - Friday. You can find more information about the New York firm at www.lockwellinvestments.com.