Lockshield Partners, Inc. (Glasgow)

Lockshield Partners, Inc. is a large advisory firm based in Glasgow. It manages $101.16 million of regulatory assets for 753 client accounts. It has been registered with the SEC as an adviser since 2015.

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

Lockshield Partners: assets under management

The assets under management (AUM) of Lockshield Partners, Inc. is $101.16 million. The company doesn't manage any assets belonging to foreign clients.

Investments

The firm invests in investment and business development companies the most. They account for 67% of the total AUM. The second-largest asset type is exchange traded securities, which make up 31% of the firm’s portfolio. Investments in investment grade corporate bonds form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Lockshield Partners, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Lockshield Partners serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Lockshield Partners is individuals with 280 clients and $76.69 million of assets under management. Among the 7 most similar advisory firms, Lockshield Partners has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $100.97 million for 300 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Lockshield Partners doesn't advise any private funds.

Careers at Lockshield Partners, Inc.

The company employs 4 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. 3 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 doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Daniel Joseph Klein	Managing member	1 Mar 2015	75% - 100%	3213917
Jeremiah Warren Harston	Chief compliance officer	1 Mar 2015	Other	5863764

Based in Glasgow

The principal office where Lockshield Partners, Inc. performs its advisory services is located at 301 South Broadway, Glasgow, KY 42141, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 270-629-2046 or by fax 270-629-2049. The normal business hours are 8am - 4pm on Monday - Friday.