Liquid Strategies, Llc
- Regulatory AUM
- $1.4B
- Discretionary
- $1.4B
- Clients
- 22
- Avg AUM / client
- $65.7M
- Accounts
- 22
- Employees
- 13
AUM over time
Annual snapshots from Form ADV filings · as of Mar 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 11 | $1.1B | 73.9% |
| Pooled investment vehicles (non-investment companies) | 2 | $73.2M | 5.06% |
| Other investment advisers | 2 | $202M | 14.0% |
| Other | 7 | $102M | 7.06% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of May 2024 · $7.9M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Teton Private Income Fund, Lp | Other Private Fund | Delaware | $7.9M | 10 |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ball, George, Bradley | Managing Member/Ceo | Dec 2013 (13y) | 25% – 50% | |
| Clayton Shawn Gibson | Member, Cio | Dec 2013 (13y) | 10% – 25% | |
| Stewart, Adam, Clement | Member | Dec 2013 (13y) | 5% – 10% | |
| Welch, Peter, Francis | Controller | Sep 2016 (10y) | Less than 5% | |
| Justin Caldwell Boller | Member | CFA | Jul 2019 (7y) | Less than 5% |
| Pegula, Kim, S | Member | Dec 2021 (5y) | ≈ 5% – 18.75% via East Asset Management | |
| Pegula, Terrence, M | Member | Dec 2021 (5y) | ≈ 5% – 18.75% via East Asset Management | |
| Parimal H Patel | Chief Compliance Officer | May 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| East Asset Management | Member | Dec 2021 | A | 10% – 25% |
Undisclosed: 0% – 50% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Pegula, Kim, S: 50% – 75% of East Asset Management × 10% – 25% direct ≈ 5% – 18.75% of the firm
- Pegula, Terrence, M: 50% – 75% of East Asset Management × 10% – 25% direct ≈ 5% – 18.75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $7.9M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Teton Private Income Fund, Lp | Other Private Fund | $7.9M | $250K | 10 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/23/2026 | 1.33 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Other services
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 23, 2026.
View current Form ADV (SEC/IAPD) ↗