South Lakeview, LLC (Denver)

South Lakeview, LLC is a large advisory firm based in Denver. It manages $357 million of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdiction of Colorado.

South Lakeview provides 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.

South Lakeview: assets under management

The assets under management (AUM) of South Lakeview, LLC is $357 million. The firm's AUM has grown by 14% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $14 million in discretionary accounts and $343 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4.67 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $57.17 million.

Investments

The firm invests in exchange traded securities the most. They account for 96% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 2% of the firm’s portfolio. Investments in government bonds form 2% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay South Lakeview, LLC for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at South Lakeview, LLC

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. No 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

Based in Denver

The principal office where South Lakeview, LLC performs its advisory services is located at 2635 S. Saint Paul St., Denver, CO 80210, 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 303-804-0339 or by fax 303-804-0339. The normal business hours are by appointments on Monday - Friday. You can find more information about the New York firm at linkedin.com/in/james-b-tompkins-cfa-29930715/.

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