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Overview

Services

Advisor Services

  • Pension Consulting
    • -401k
    • -403b
    • -457
    • -Defined Benefit
    • -Other Pension Consulting

Funds

Funds Used With Clients

There are no funds listed for this advisor at this time.

Firm Client types

Qualifications

Experience

No timeline events available.
Employer Years Dates
Lockton Capital Advisors, LLC 1 year Jan 2019 - Present
Lockton Capital Advisors, LLC 3 months Sep 2018 - Dec 2018
Lockton Investment Advisors, LLC 5 years, 4 months Sep 2014 - Present
Lockton Compnaies LLC 5 years, 4 months Sep 2014 - Present
Lockton Financial Advisors, LLC 5 years, 4 months Sep 2014 - Present
Captrust Financial Advisors 2 years, 4 months Feb 2012 - Jun 2014
J.P. Morgan Institutional Investments Inc. 8 years, 1 month Dec 2003 - Jan 2012
Jpmorgan Retirement Plan Services 8 years, 8 months Jun 2003 - Feb 2012

Designations & Memberships

  • American Association of Individual Investors
    Membership
    American Association of Individual Investors
    The American Association of Individual Investors is a nonprofit organization with about 150,000 members whose purpose is to educate individual investors regarding stock market portolios, financial planning, and retirement accounts.
  • American Society of Pension Professionals & Actuaries
    Membership
    American Society of Pension Professionals & Actuaries
    The American Society of Pension Professionals & Actuaries is the premier educator and policy advocate for over 7,500 career professionals actively engaged in the retirement plan industry.

Articles and Answers

Answers

Ask a financial questionAsk a question
How many audits of benefit plans are performed each year?
Not sure of the exact question you're asking, and whether you are referring to independent financial audits which are generally required for all plans with more than 100 participants, or to DOL audits. If the latter, see th attached fact sheet published by EBSA. It may not have all of the informatio...  (more)
Answered Oct 2012
Should I contribute to a 401k if I'm a foreign citizen?
Keep in mind that if you take the money out of the plan when you return to your home country, you will likely be subject to income taxes in the US including a potential excise tax if you are younger than 59 1/2. Make sure that you take this into account when you are assessing the tax implications ...  (more)
Answered Oct 2012
    *Answers are submitted by advisors without compensation.

    Licenses & Conducts

    SEC
    U.S. Securities and Exchange Commission
    • license status
      Registered
    • disclosures
      None
    • as of date
      Sep 24, 2019
    FINRA
    FINRA
    • license status
      Registered
    • disclosures
      None
    • as of date
      Sep 24, 2019
    Review the status and details of the disclosures noted above using the SEC's Investment Advisor Public Disclosure website:

    Assets

    Advisor

    Last updated on Sept. 25, 2019
      • $187.0M
        Total Assets Under Management
      • $0
        Total Assets Under Advisement
      • 2
        number of clients
      • $93.5M
        Estimated Average Account Balance Per Client

    Lockton Investment Advisors, LLC

    Last updated on July 29, 2019
      • $5.1B
        Total Assets Under Management
      • N/A
        Total Assets Under Advisement
      • 205
        Accounts
      • $25.0M
        Estimated Average Account Balance

    Fees

    Fee Only Advisor
    $
    This advisor has certified that they are compensated soley by their clients, and do not accept commisions or compensation of any kind based on the products they recommend.