National Investment Services Of America, Llc
SEC-registered
Institutional / Pension Advisor · Large ($10B–$100B)
CRD 307169
· SEC file 801-118132
· Milwaukee, WI
· www.linkedin.com
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ADV data as of May 01, 2026
- Regulatory AUM
- $16.3B
- Discretionary
- $16.3B
- Clients
- 360
- Avg AUM / client
- $45.1M
- Accounts
- 360
- Employees
- 38
AUM over time
$7.9B
$16.3B
Dec 2019
May 2026
Annual snapshots from Form ADV filings · as of May 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 10 | $33.0M | 0.2% |
| Investment companies | 1 | $8.7M | 0.05% |
| Pooled investment vehicles (non-investment companies) | 12 | $409M | 2.52% |
| Pension and profit sharing plans | 263 | $13.0B | 79.9% |
| Charitable organizations | 35 | $657M | 4.04% |
| State or municipal government entities | 29 | $1.3B | 7.82% |
| Corporations and other businesses | 8 | $589M | 3.63% |
| Other | 2 | $302M | 1.86% |
Private funds (11)
Reported in Form ADV Section 7.B.(1), filing of May 2024 · $5.0B combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Nis Core Fixed Income Qp Fund, Llc | Other Private Fund | Delaware | $1.2B | 26 |
| Nis Core Fixed Income Fund, Llc | Other Private Fund | Delaware | $1.2B | 48 |
| Nis Intermediate Fixed Income Fund, Llc | Other Private Fund | Delaware | $1.1B | 57 |
| Nis Total Absolute Return Fund, Llc | Hedge Fund | Delaware | $499M | 87 |
| Nis Preferred Stock Fund Ii, Llc | Hedge Fund | Delaware | $320M | 55 |
| Nis Intermediate Fixed Income Qp Fund, Llc | Other Private Fund | Delaware | $246M | 16 |
| Nis High Yield Fund, Llc | Other Private Fund | Delaware | $173M | 80 |
| Nis High Yield Qp Fund, Llc | Other Private Fund | Delaware | $109M | 37 |
| Nis Total Absoute Return Qp Fund, Llc | Hedge Fund | Delaware | $87.5M | 30 |
| Nis Short Duration High Yield Fund, Llc | Other Private Fund | Delaware | $47.6M | 4 |
| Nis Preferred Stock Qp Fund, Llc | Hedge Fund | Delaware | $26.5M | 10 |
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| Ufcw Local 546 Food Handlers Welfare Fund EIN 362365968 | Oak Brook, IL | 12/31/2024 |
| Boilermakers National Health & Welfare Fund EIN 366090694 | Bloomington, MN | 12/31/2024 |
| Plumbers And Pipefitters Local Union 502 Fourth Restated Hospital EIN 610655187 | Troy, MI | 07/31/2024 |
| Operating Engineers Health & Welfare Fund EIN 956034886 | Pasadena, CA | 06/30/2024 |
| Administrative District Council 1 Welfare Fund EIN 362150067 | Elmhurst, IL | 05/31/2024 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| United Asso Journeymen & Apprnc Pension Fund United Assn Of Journeymen & Apprentice Local 198 Afl Cio Pension Fund | Jacksonville, FL | 2024 |
| Wisconsin Laborers' Pension Fund Trustees Of Wisconsin Laborers' Pension Fund | 2024 | |
| United Food And Commercial Workers Local 1546 Pension Plan Board Of Trustees Of United Food & Commercial Wkrs Local 1546 Pension | 2024 | |
| Shopmen's Iron Workers Retirement Fund Of Southern California Jt Board Of Trustees, Shopmen's Iron Workers Retirement Fund | 2024 | |
| Plumbers & Pipefitters Local Unions 502 & 633 Pens Joint Board Of Trustees Plumbers & Pipefitters Local Unions | 2024 | |
| Flint Plumb & Pipe Pension Fun Trustees Flint Plumbing Pension Fun | 2024 | |
| Electrical Contractors Assoc. Of The City Of Chgo Local Union 134, Ibew Joint Pension Trust Of Chgo Pension Plan #2 Board Of Trustees Of Eca Chicago And Local Union 134 Ibew Pension Plan | 2024 | |
| Smart Local 265 Pension Fund Trustees Of The Smart Local 265 Pension Fund | 2024 | |
| Plumbers Local 9 Pension Plan Plumbers Local 9 Pension Fund | 2024 | |
| Plumbers And Pipefitters Local Union No 333 Pension Fund Joint Board Plumbers & Pipefitters Local Union No. 333 Pension | 2024 | |
| Sheet Metal Workers' Local 73 Pension Fund Board Of Trustees Of The Sheet Metal Workers 73 Pension Fund | 2024 | |
| Local No. 1 Pension Trust Fund Trustees Of Local 1 Pension Fund | 2024 | |
| Operating Eng. Local 474 Defined Contribution Operating Eng. Local 474 Defined Contribution | 2024 | |
| Plumbers And Steamfitters Local 102 Pension Plan Plumbers & Steamfitters Local Union No. 102 | 2024 | |
| Plumbers & Steamfitters Local No. 452 Pension Trust Fund Board Of Trustees Plumbers Local 452 Pension Trust Fund | 2024 | |
| Indiana/Kentucky/Ohio Regional Council Of Carpenters Pension Fund Board Of Trustees Indiana/Kentucky/Ohio Regional Council Carpenters Pe | 2024 | |
| Ibew Local 150 Pension Plan Trustees Under Ibew Local 150 Pension Fund | Lexington, KY | 2024 |
| Ironworkers Local 11 Pension Fund Ironworkers Local 11 Pension Fund Board Of Trustees | 2024 | |
| Ironworkers Local 11 Annuity Fund Ironworkers Local 11 Annuity Fund Board Of Trustees | 2024 | |
| Insulators And Allied Workers National Pension Fun Board Of Trustees Of The Insulators And Allied Workers National Pensio | Pembroke Pines, FL | 2024 |
| Southern California Ibew Neca Pension Plan Board Of Trustees, Southern California Ibew Neca | 2024 | |
| Southern Illinois Bricklayers Pension Fund Southern Illinois Bricklayers Pension Fund | St Louis, MO | 2024 |
| United Assn Of Journeymen Plumbers & Pipefitters Local 357 Pension Plan Board Of Trustees Of The Kalamazoo Plumbers & Pipefitters 357 Pension | 2024 | |
| Neca Ibew Local 176 Pension Trust Fund Trustees Of The Neca Ibew Local 176 Pension Trust Fund | 2024 | |
| Ibew Local 701 Pension Fund Board Of Trustees, 701 Pension Fund | 2024 | |
| Indiana Laborers Pension Fund Board Of Trustees Indiana Laborers Pension Fund | Terre Haute, IN | 2024 |
| Fox Valley & Vicinity Construction Workers Pension Fund Trustees Of The Fox Valley Const Workers Pension | 2024 | |
| Plumbers Pipe Fitters & Mechanical Equipment Service Local Union No. 392 Pension Plan Plumbers, Pipefitters & Mechanical Equipment Service Local Union 392 | 2024 | |
| Plumbers Local No. 8 Pension Plan Plumbers Local No. 8 Pension Plan | 2024 | |
| Wa Id Laborers Employers Pension Trust Wa Id Laborers Employers Pension Trust | Bothell, WA | 2024 |
| Neca Ibew Pension Trust Fund Neca Ibew Pension Trust Fund | 2024 | |
| Building Trades United Pension Trust Fund Milwaukee And Vicinity Building Trades United Pension Trust Fund | 2024 | |
| Administrative District Council 1 Pension Fund Board Of Trustees Of Administrative District Council 1 Pension Fund | 2024 | |
| Ufcw Intl Union Pension Plan For Employees Executive Committee Of The U.F.C.W Intl Union | 2024 | |
| Pension Fund Of Operating Engineers Local 513 Board Of Trustees Of Pension Fund Of Operating Engineers Local 513 | Bridgeton, MO | 2024 |
| Operating Engineers' Local 324 Pension Fund Joint Board Of Trustees Operating Engineers Local 324 | 2024 | |
| Local Union 212 Ibew Pension Trust Fund Local Union No 212 Ibew Pension | 2024 | |
| Ohio Bricklayers Pension Plan Ohio Bricklayers Pension Plan | 2024 | |
| Laborers Local 231 Annuity Fund Board Of Trustees Laborers Local 231 Annuity Fund | Pekin, IL | 2024 |
| U.A. Plumbers 63 & Steamfitters 353 Joint Pension Trustees U.A. Plumbers 63 & Steamfitters 353 Pen Trustfund | 2024 | |
| Iron Workers' Local No. 25 Pension Fund Board Of Trustees, Iron Workers Local No. 25 | 2024 | |
| Painters District Council No. 30 Pension Fund Board Of Trustees Painters District Coun No. 30 Pension Fund | Aurora, IL | 2024 |
| Rockford Pipe Trades Industry Pension Fund Board Of Trustees Of The Rockford Pipe Trades Industry Pension Fund | 2024 | |
| Shreveport Electrical Industry Profit Sharing Plan Shreveport Electrical Industry Profit Sharing Plan | 2024 | |
| Chicago Painters And Decorators Pension Fund Board Of Trustees Of Chicago Painters And Decorators Pension Fd | Darien, IL | 2024 |
| Plumbers & Pipefitters Local Union No. 572 Pension Fund Trustees Of Plumbers And Pipefitters Local Union No. 572 Pension Fund | 2024 | |
| Ibew 648 Pension Plan Ibew 648 Pension Plan | 2024 | |
| Teamsters Local Union No. 727 Pension Plan Board Of Trustees Of Teamsters Local Union No. 727 Pension Plan | 2024 | |
| Pipefitters Local Union No. 537 Deferred Income Annuity Fund Individual Account Plan Pipefitters Local Union No.537 | 2024 | |
| Plumbers & Pipefitters Local 172 Pension Fund Trustees Of Plumbers & Pipefitters Local 172 Pension Fund | 2024 | |
| International Brotherhood Of Teamsters Union Local 710 Pension Fund Trustees Of I.B. Of T. Union Local 710 Pension Fund | 2024 | |
| Chicago Area Ib Of T Severance And Retirement Plan Board Of Trustees Chicago Area Ibt Severance And Retirement Trust Fund | 2024 | |
| Chicago Area Ib Of T Pension Trust Fund Board Of Trustees Of Chicago Area Ib Of T Pension Trust Fund | Downers Grove, IL | 2024 |
| Heavy & General Laborers' Local Unions 472 & 172 Of Nj Annuity Plan Bd Of Trustees Heavy & General Laborers' Of Nj Annuity Fund | 2024 | |
| Eastern Atlantic States Carpenters Pension Fund Board Of Trustees Eastern Atlantic States Carpenters Pension Fund | 2024 | |
| Sheet Metal Workers Local 224 Pension Fund Sheet Metal Workers Local 224 Pension Fund Bd Of Trustees | 2024 | |
| Ufcw No. California Food Employers Joint Individual Account Plan Board Of Trustees Ufcw No. California Food Employers Joint Ind Account | 2024 | |
| Ibew 332 Pension Plan Part A Board Of Trustees, Ibew 332 Pension Plan Part A | 2024 | |
| Construction Laborers Pension Trust Fund For Southern California Board Of Trustees,Construction Laborers Pension Trust For Southern Cal | 2024 | |
| Plumbers Local No 98 Defined Benefit Pension Fund Plumbers Local 98 Defined Benefit Pension Fund | 2024 | |
| S.E.I.U. National Industry Pension Fund Board Of Trustees Of The S.E.I.U. National Industry Pension Fund | Washington, DC | 2024 |
| Local 99 Pension Plan Board Of Trustees Local 99 Pension Plan | Moline, IL | 2024 |
| Studio Mechanics Local 476 Annuity Plan Board Of Trustees Studio Mechanics Local 476 Annuity Fund | 2024 | |
| Studio Mechanics Local 476 Iatse Retirement Plan Board Of Trustees Studio Mechanics Local 476 Iatse Retiremen | 2024 | |
| Shopmen Local Union 502 Pension Plan Shopmen Iron Workers Local 502 Board Of Trustees Pension Fund | 2024 | |
| I. B. E. W. Local 25 401 K Fund Board Of Trustees Of I.B.E.W. Local 25 401 K Fund | 2024 | |
| Seiu Affiliates Officers And Employees Pension Plan Bd Of Trustees Seiu Affiliates Officers And Employees Pension Plan | Washington, DC | 2024 |
| Pension Plan For Employees Of The Service Employee Int'l Union Service Employees Intl Union | 2024 | |
| District Council 82 Painting Industry Pension Plan Trustees Of District Council 82 Painting Industry Pension Plan | 2024 | |
| Plumbers & Pipefitters Local 162 Pension Fund Plumbers & Pipefitters Local 162 | 2024 | |
| Sheet Metal Workers Local 98 Pension Fund Board Of Trustees Sheet Metal Workers Local 98 Pension Fund | Ona, WV | 2024 |
| East Bay Restaurant & Tavern Retirement Plan Board Of Trustees, East Bay Restaurant & Tavern | 2024 | |
| Pipe Fitters Retirement Fund, Local 597 Trustees Of Pipe Fitters Retirement Fund Local 597 | 2024 | |
| Elevator Constructors Union Local 1 Annuity And 401 K Fund Bd Of Tees Of Elevator Constructors Union Local No. 1 Annuity & 401 K F | 2024 | |
| Teamsters' Local 301 Pension Plan Trustees Of Teamsters Local 301 | 2024 | |
| Soft Drink Industry Pension Fund Trustees Of Soft Drink Industry Pension Fund | 2024 | |
| Construction Laborers Annuity Plan For Southern California Board Of Trustees,Construction Laborers Annuity Plan For Southern Cali | 2024 | |
| Teamsters Retirement Pension Plan Board Of Trustees, Teamsters Retirement Pension Plan | 2024 | |
| Smart Local Unions And Councils Pension Fund Board Of Trustees Of The Smart Local Unions And Councils Pension Fund | 2024 | |
| Annuity Fd Of The Electrical Industry Of Long Island Board Of Trust Of The Annuity Fd Of The Electrical Industry Of Li | 2024 | |
| Plumbers And Steamfitters Local No. 177 Pension Plan Board Of Trustees Plumbers And Steamfitters Local No. 177 Pension | 2024 | |
| Pension Fund Of Cement Masons Union Local No. 502 Board Of Trustees Cement Masons' Pension Fund | 2024 | |
| Michigan Electrical Employees' Pension Plan Trustees Of Michigan Electrical Employees' Pension Fund | 2024 | |
| Midwest Pension Plan Board Of Trustees Midwest Pension Plan | Hillside, IL | 2024 |
| Automobile Mechanics' Local No. 701 Pension Fund Trustees Of Automobile Mechanics' Local No. 701 Pension Fund | Burr Ridge, IL | 2024 |
People (22)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brooks, Robert, Patrick | Chief Executive Officer, Director | Dec 2019 (7y) | Less than 5% | |
| Fremgen, John, P | Principal, Managing Partner, Director | Dec 2019 (7y) | Less than 5% | |
| Mark Robert Anderson | Chief Strategy Officer | CFA | Dec 2019 (7y) | Less than 5% |
| Mccartin, Bartlett, Joseph | Principal, Managing Partner, Director | Dec 2019 (7y) | Less than 5% | |
| Sidler, Norman, Edward | Principal, Managing Partner, Director | Dec 2019 (7y) | Less than 5% | |
| Van Lith, Scott, Orile | Chief Financial Officer | Dec 2019 (7y) | Less than 5% | |
| Jason Christopher Berrie | Chief Investment Officer, Director | CFA | Oct 2020 (6y) | Less than 5% |
| Abbott, Natalie, Kay | Chief Compliance Officer | Feb 2022 (5y) | Less than 5% | |
| Harris, Rebecca, Lynn | Director | Apr 2022 (4y) | Less than 5% | |
| Stumm, Gregory, John | Director | May 2024 (2y) | Less than 5% | |
| Lesly Merriken Barnes | Registered representative | Feb 2020 (6y) | ||
| Barbara Ann Schalla | Registered representative | CFA | Mar 2020 (6y) | |
| James Simpson Kaplan | Registered representative | CFA | Mar 2020 (6y) | |
| Stefan Martin | Registered representative | Mar 2020 (6y) | ||
| Vincent Steven Russo | Registered representative | CFA | Mar 2020 (6y) | |
| Michael David Fohr | Registered representative | CFA | Sep 2020 (6y) | |
| Thomas Morrison Price | Registered representative | CFA | Sep 2020 (6y) | |
| Stephen Joseph Smitley | Registered representative | Aug 2021 (5y) | ||
| Jenny Ann Notte | Registered representative | Jan 2022 (5y) | ||
| Jay Thomas Dirienzo | Registered representative | Apr 2022 (4y) | ||
| Kyle Robert Olson | Registered representative | Oct 2023 (3y) | ||
| Vasilios D Gerasopoulos | Registered representative | Aug 2024 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Resolute Investment Managers, Inc. | Direct Owner | Dec 2019 | A | 50% – 75% |
| Nis Holding Corporation | Direct Owner | Dec 2019 | A | 25% – 50% |
| Resolute Acquisition, Inc. | Shareholder | Dec 2019 | B | ≈ 37.5% – 75% via Resolute Investment Managers, Inc. |
| Resolute Topco, Inc. | Shareholder | Dec 2019 | B | ≈ 28.13% – 75% via Resolute Acquisition, Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Resolute Acquisition, Inc.: 75% – 100% of Resolute Investment Managers, Inc. × 50% – 75% direct ≈ 37.5% – 75% of the firm
- Resolute Topco, Inc.: 75% – 100% of Resolute Acquisition, Inc. × 75% – 100% of Resolute Investment Managers, Inc. × 50% – 75% direct ≈ 28.13% – 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 (11, $5.0B gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Nis Core Fixed Income Qp Fund, Llc | Other Private Fund | $1.2B | $1.0M | 26 |
| Nis Core Fixed Income Fund, Llc | Other Private Fund | $1.2B | $250K | 48 |
| Nis Intermediate Fixed Income Fund, Llc | Other Private Fund | $1.1B | $250K | 57 |
| Nis Total Absolute Return Fund, Llc | Hedge Fund | $499M | $1.0M | 87 |
| Nis Preferred Stock Fund Ii, Llc | Hedge Fund | $320M | $250K | 55 |
| Nis Intermediate Fixed Income Qp Fund, Llc | Other Private Fund | $246M | $1.0M | 16 |
| Nis High Yield Fund, Llc | Other Private Fund | $173M | $0 | 80 |
| Nis High Yield Qp Fund, Llc | Other Private Fund | $109M | $1.0M | 37 |
| Nis Total Absoute Return Qp Fund, Llc | Hedge Fund | $87.5M | $1.0M | 30 |
| Nis Short Duration High Yield Fund, Llc | Other Private Fund | $47.6M | $1.0M | 4 |
| Nis Preferred Stock Qp Fund, Llc | Hedge Fund | $26.5M | $1.0M | 10 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (85)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| United Asso Journeymen & Apprnc Pension Fund | United Assn Of Journeymen & Apprentice Local 198 Afl Cio Pension Fund | 882 | $201M | 09/01/2024 |
| Wisconsin Laborers' Pension Fund | Trustees Of Wisconsin Laborers' Pension Fund | 4,045 | $1.1B | 09/01/2024 |
| United Food And Commercial Workers Local 1546 Pension Plan | Board Of Trustees Of United Food & Commercial Wkrs Local 1546 Pension | 4,533 | $217M | 09/01/2024 |
| Shopmen's Iron Workers Retirement Fund Of Southern California | Jt Board Of Trustees, Shopmen's Iron Workers Retirement Fund | 294 | $89.3M | 08/01/2024 |
| Plumbers & Pipefitters Local Unions 502 & 633 Pens | Joint Board Of Trustees Plumbers & Pipefitters Local Unions | 2,219 | $623M | 08/01/2024 |
| Flint Plumb & Pipe Pension Fun | Trustees Flint Plumbing Pension Fun | 565 | $117M | 08/01/2024 |
| Electrical Contractors Assoc. Of The City Of Chgo Local Union 134, Ibew Joint Pension Trust Of Chgo Pension Plan #2 | Board Of Trustees Of Eca Chicago And Local Union 134 Ibew Pension Plan | 7,099 | $2.7B | 07/01/2024 |
| Smart Local 265 Pension Fund | Trustees Of The Smart Local 265 Pension Fund | 1,234 | $607M | 07/01/2024 |
| Plumbers Local 9 Pension Plan | Plumbers Local 9 Pension Fund | 738 | $308M | 07/01/2024 |
| Plumbers And Pipefitters Local Union No 333 Pension Fund | Joint Board Plumbers & Pipefitters Local Union No. 333 Pension | 845 | $301M | 07/01/2024 |
| Sheet Metal Workers' Local 73 Pension Fund | Board Of Trustees Of The Sheet Metal Workers 73 Pension Fund | 1,863 | $786M | 07/01/2024 |
| Local No. 1 Pension Trust Fund | Trustees Of Local 1 Pension Fund | 3,874 | $346M | 07/01/2024 |
| Operating Eng. Local 474 Defined Contribution | Operating Eng. Local 474 Defined Contribution | 254 | $61.3M | 07/01/2024 |
| Plumbers And Steamfitters Local 102 Pension Plan | Plumbers & Steamfitters Local Union No. 102 | 430 | $105M | 07/01/2024 |
| Plumbers & Steamfitters Local No. 452 Pension Trust Fund | Board Of Trustees Plumbers Local 452 Pension Trust Fund | 425 | $86.4M | 07/01/2024 |
| Indiana/Kentucky/Ohio Regional Council Of Carpenters Pension Fund | Board Of Trustees Indiana/Kentucky/Ohio Regional Council Carpenters Pe | 6,194 | $1.8B | 07/01/2024 |
| Ibew Local 150 Pension Plan | Trustees Under Ibew Local 150 Pension Fund | 670 | $273M | 07/01/2024 |
| Ironworkers Local 11 Pension Fund | Ironworkers Local 11 Pension Fund Board Of Trustees | 1,135 | $398M | 07/01/2024 |
| Ironworkers Local 11 Annuity Fund | Ironworkers Local 11 Annuity Fund Board Of Trustees | 1,135 | $395M | 07/01/2024 |
| Insulators And Allied Workers National Pension Fun | Board Of Trustees Of The Insulators And Allied Workers National Pensio | 2,755 | $597M | 07/01/2024 |
| Southern California Ibew Neca Pension Plan | Board Of Trustees, Southern California Ibew Neca | 8,335 | $1.6B | 07/01/2024 |
| Southern Illinois Bricklayers Pension Fund | Southern Illinois Bricklayers Pension Fund | 172 | $26.5M | 07/01/2024 |
| United Assn Of Journeymen Plumbers & Pipefitters Local 357 Pension Plan | Board Of Trustees Of The Kalamazoo Plumbers & Pipefitters 357 Pension | 638 | $206M | 07/01/2024 |
| Neca Ibew Local 176 Pension Trust Fund | Trustees Of The Neca Ibew Local 176 Pension Trust Fund | 2,166 | $725M | 06/01/2024 |
| Ibew Local 701 Pension Fund | Board Of Trustees, 701 Pension Fund | 1,101 | $528M | 06/01/2024 |
Top 25 of 85 plans by assets.
From Form 5500 service-provider disclosures.
Foundations & charities (5)
| Organization | Type | Assets | As of |
|---|---|---|---|
| Ufcw Local 546 Food Handlers Welfare Fund | Public charity | $39.6M | 12/31/2024 |
| Boilermakers National Health & Welfare Fund | Public charity | $1.3B | 12/31/2024 |
| Plumbers And Pipefitters Local Union 502 Fourth Restated Hospital | Public charity | $70.0M | 07/31/2024 |
| Operating Engineers Health & Welfare Fund | Public charity | $147M | 06/30/2024 |
| Administrative District Council 1 Welfare Fund | Public charity | $148M | 05/31/2024 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/01/2026 | 3.5 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
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Mellon Trust $1.7B (10% of AUM) May 2026
- U.S. Bank $1.6B (10% of AUM) May 2026
- Northern Trust $980M (6% of AUM) May 2026
- Comerica Bank Trust National Association $772M (8% of AUM) May 2024
- State Street $706M (4% of AUM) May 2026
- First Midwest Bank $366M (4% of AUM) May 2022
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 01, 2026.
View current Form ADV (SEC/IAPD) ↗