Lockton Investment Advisors, Llc
SEC-registered
Investment Adviser
CRD 144133
· SEC file 801-68005
· Overland Park, KS
· WWW.LOCKTON.COM
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ADV data as of Jul 30, 2026
- Regulatory AUM
- —
- Discretionary
- —
- Clients
- 0
- Avg AUM / client
- —
- Accounts
- —
- Employees
- 24
AUM over time
$3.6B
$21.6B
Mar 2018
Apr 2022
Annual snapshots from Form ADV filings · as of Jul 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (23)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kyle Randall Hartman | Executive Officer | May 2013 (13y) | Less than 5% | |
| Calvert, Curtis, Neil | Cco | Apr 2022 (4y) | Less than 5% | |
| Neil M. Metzheiser | Registered representative | Feb 2008 (18y) | ||
| Sean T Donlin | Registered representative | Oct 2008 (18y) | ||
| Matthew Paul Sweeney | Registered representative | Dec 2011 (15y) | ||
| James Royce Darby | Registered representative | Dec 2011 (15y) | ||
| Robert Nelson Andrew | Registered representative | Jan 2012 (15y) | ||
| Page Murphy Vogelsang | Registered representative | Aug 2012 (14y) | ||
| Christian Michael Moreno | Registered representative | Dec 2013 (13y) | ||
| Matthew Joseph Filing | Registered representative | Jan 2014 (13y) | ||
| Keith Richard Mulvihill | Registered representative | Feb 2014 (12y) | ||
| Francis Stephen Brooks | Registered representative | Apr 2014 (12y) | ||
| Jason Bezanson Maples | Registered representative | CFP Chartered Financial Consultant | Sep 2014 (12y) | |
| Robert Paul Lindquist | Registered representative | Jun 2020 (6y) | ||
| Michael Robert Monahan | Registered representative | Jul 2020 (6y) | ||
| Daniel Patrick Foley | Registered representative | Jul 2021 (5y) | ||
| Stephen Todd Leveridge | Registered representative | Apr 2023 (3y) | ||
| Michael P Pierce | Registered representative | May 2023 (3y) | ||
| Miguel Alejandro Lopez | Registered representative | Oct 2023 (3y) | ||
| Robert Thomas Connolly | Registered representative | May 2024 (2y) | ||
| Brian Donald Neary | Registered representative | Jan 2025 (2y) | ||
| Edward Carver Pierce | Registered representative | Mar 2025 (1y) | ||
| Jude Thaddeus Donato | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Lockton Insurance Agency, Llc | Corporate Unit Holder | May 2016 | A | 75% or more |
| Lockton, Inc. | Sole Member | May 2016 | B | ≈ 23.73% – 100% via Lpcm, Llc |
| Lockton Operating Companies, Llc | Corporate Unit Holder | May 2016 | B | ≈ 56.25% – 100% via Lockton Insurance Agency, Llc |
| Lockton Partners, Llc | Corporate Unit Holder | May 2016 | B | ≈ 42.19% – 100% via Lockton Operating Companies, Llc |
| Lpcm, Llc | Corporate Unit Holder | May 2016 | B | ≈ 31.64% – 100% via Lockton Partners, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Lockton, Inc.: 75% – 100% of Lpcm, Llc × 75% – 100% of Lockton Partners, Llc × 75% – 100% of Lockton Operating Companies, Llc × 75% – 100% of Lockton Insurance Agency, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Lockton Operating Companies, Llc: 75% – 100% of Lockton Insurance Agency, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Lockton Partners, Llc: 75% – 100% of Lockton Operating Companies, Llc × 75% – 100% of Lockton Insurance Agency, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Lpcm, Llc: 75% – 100% of Lockton Partners, Llc × 75% – 100% of Lockton Operating Companies, Llc × 75% – 100% of Lockton Insurance Agency, Llc × 75% – 100% direct ≈ 31.64% – 100% 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.
Retirement plans served (24)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Tetco, Inc. Employees' Savings Plan | Tetco, Inc. | 723 | $24.2M | 07/01/2024 |
| Storm Industries Inc. 401 K Plan | Storm Industries, Inc. | 144 | $26.1M | 01/01/2024 |
| Cypress Creek 401(k) Plan | Cypress Creek Renewables, Llc | 401 | $50.8M | 01/01/2024 |
| Mindbody, Inc. 401(k) Profit Sharing Plan | Mindbody, Inc. | 1,000 | $123M | 01/01/2024 |
| Pipeline Health System 401(k) Plan | Pipeline Health System Holdings, Llc | 1,779 | $76.0M | 01/01/2024 |
| Blakeman Steel, Inc. Profit Sharing Plan | Blakeman Steel, Inc. | 127 | $3.2M | 01/01/2024 |
| The Retirement Plan For Union Employees Of U.S. Oil & Refining Co. | Par Petroleum Llc | 62 | $21.6M | 01/01/2024 |
| Schenker, Inc. 401(k) Savings And Investment Plan | Schenker, Inc | 8,670 | $465M | 01/01/2024 |
| J.B. Hunt Transport Services, Inc. Employee Retirement Plan | J.B. Hunt Transport Services, Inc. | 34,171 | $1.4B | 01/01/2024 |
| North American Savings Bank, F.S.B. Savings And Retirement Plan | North American Savings Bank, F.S.B. | 247 | $53.5M | 01/01/2024 |
| National Bank Holdings Corporation 401(k) Plan | National Bank Holdings Corp | 1,397 | $76.7M | 01/01/2024 |
| Copart, Inc. 401(k) Retirement Savings Plan | Copart, Inc. | 7,203 | $134M | 01/01/2024 |
| Miles & Stockbridge Retirement Plan | Miles & Stockbridge P.C. | 385 | $195M | 01/01/2024 |
| C & C Produce, Inc. 401(k) Profit Sharing Plan | C & C Produce, Inc. | 249 | $5.9M | 01/01/2024 |
| Onesky Flight, Llc 401(k) Retirement Savings Plan | Onesky, Llc | 3,745 | $502M | 01/01/2024 |
| Enlink Midstream Operating, Lp 401(k) Trust | Enlink Midstream Operating, Lp | 1,082 | $210M | 01/01/2024 |
| Unicom Global, Inc. 401(k) Plan | Unicom, Inc. | 457 | $96.3M | 01/01/2024 |
| Safebuilt 401(k) Plan | Safebuilt, Llc | 1,441 | $84.7M | 01/01/2024 |
| Seatrax, Inc. Employees 401(k) Plan | Seatrax, Inc. | 441 | $15.8M | 01/01/2024 |
| Adacel Systems Inc. Retirement Plan | Adacel Systems Inc. | 132 | $6.1M | 01/01/2024 |
| Safran Retirement And Savings Account Plan | Safran Usa, Inc. | 3,913 | $598M | 01/01/2024 |
| Banner Solutions 401(k) Retirement Savings Plan | Banner Solutions | 256 | $13.8M | 01/01/2024 |
| Estis Compression, Llc 401(k) Profit Sharing Plan And Trust | Estis Compression, Llc | 320 | $7.9M | 01/01/2024 |
| Savewisetm Pooled Employer Plan | Newport Group, Inc. | 22,638 | $431M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/29/2025 | 973 KB | 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
- • Other fees
- • REFFERAL FEE
Services
- • Other services
Custody
Firm reports it does not have 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: Jul 30, 2026.
View current Form ADV (SEC/IAPD) ↗