F3 Investment Management, LLC (Appleton)


F3 Investment Management, LLC is a large advisory firm based in Appleton. It manages $232.99 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdictions of New Jersey and Wisconsin.

F3 Investment Management provides 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.

F3 Investment Management: assets under management

The assets under management (AUM) of F3 Investment Management, LLC is $232.99 million. The company doesn't manage any assets belonging to foreign clients.

Investments

The firm invests in exchange traded securities the most. They account for 54% of the total AUM. The second-largest asset type is investment and business development companies, which make up 29% of the firm’s portfolio. Investments in cash and cash equivalents form 12% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay F3 Investment Management, 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.

What kind of clients F3 Investment Management serves?

The only and largest group of clients of F3 Investment Management is other investment advisers with 1 clients and $232.99 million of assets under management. Among the 10 most similar advisory firms, F3 Investment Management has the highest percentage of other investment advisers out of all clients.

The amount of regulatory assets under management is $232.99 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

F3 Investment Management doesn't advise any private funds.

Careers at F3 Investment Management, LLC

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 2 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
Richanned Management Co Managing member 1 Sep 2017 Other 26-3274983
Inc Childs Investment Group Managing member 1 Sep 2017 Other 34-1724014
Llc Diesel Asset Management Managing member 1 Sep 2017 Other 82-4910146
Llc Kusske Financial Asset Management Managing member 1 Sep 2017 Other 82-4832559
Inc Makof3 Managing member 1 Sep 2017 Other 82-5078691
Inc Mtf3 Managing member 1 Sep 2017 Other 82-4929064
Richard Gerard Desalvo Member & coo 1 Feb 2018 Other 1361709
Jon Patrick Desmidt Chief compliance officer 1 Feb 2018 Other 2881733
Michael James Labrie Member 1 Feb 2018 Other 2171774
Michael Ray Childs Member 1 Feb 2018 Other 2143823
Kevin Michael Nentwich Member 1 Feb 2018 Other 2494844
Mary Barbara Kusske Member 1 Feb 2018 Other 1493905
Thomas Francis Nee Member 1 Feb 2018 Other 2049953
Robert Harold Dearman Head of wealth management 1 Oct 2018 Other 5734520
Llc Dcg Insight Managing member 1 Oct 2018 Other 83-1449733

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Richard Gerard Desalvo Managing member 1 Sep 2017 75% - 100% 1361709
Michael Ray Childs Managing member 1 Sep 2017 75% - 100% 2143823
Kevin Michael Nentwich Managing member 1 Sep 2017 75% - 100% 2494844
Michael James Labrie Managing member 1 Sep 2017 75% - 100% 2171774
Thomas Francis Nee Managing member 1 Sep 2017 75% - 100% 2049953
Mary Barbara Kusske Managing member 1 Sep 2017 75% - 100% 1493905

Based in Appleton

The principal office where F3 Investment Management, LLC performs its advisory services is located at 1125 West Lorain Street, Appleton, WI 54914, 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 (419) 370-0527 or by fax N/A. The normal business hours are not applicable - office visits by appointment only on Other.