Parkside Investments, Llc
- Regulatory AUM
- $1.4B
- Discretionary
- $970M
- Clients
- 227
- Avg AUM / client
- $6.3M
- Accounts
- 710
- Employees
- 7
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 51 | $20.9M | 1.45% |
| High net worth individuals | 149 | $890M | 61.9% |
| Pooled investment vehicles (non-investment companies) | 2 | $42.7M | 2.97% |
| Charitable organizations | Fewer than 5 | $775K | 0.05% |
| Corporations and other businesses | Fewer than 5 | $15.7M | 1.09% |
| Other | 25 | $468M | 32.5% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $47.7M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Parkside Covered Call Fund, Lp | Other Private Fund | Delaware | $33.1M | 42 |
| Parkside Vps Fund, Lp | Other Private Fund | Delaware | $14.6M | 40 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Portland Cement Association Retirement Plan Portland Cement Association | 2024 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Alan (Nmn) Cole | Manager, President | CFA Chartered Investment Counselor | Jul 2016 (10y) | 50% – 75% |
| Keach, Dawn, Henderson | Chief Compliance Officer | Apr 2018 (8y) | Less than 5% | |
| Christopher Irving Engelman | Managing Director | CFA | Jan 2019 (8y) | 25% – 50% |
| John Charles Kearney | Registered representative | CFA | Jul 2017 (9y) | |
| Debbiann Frenzel | Registered representative | May 2018 (8y) | ||
| Todd Alan Needlman | Registered representative | Sep 2018 (8y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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 (2, $47.7M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Parkside Covered Call Fund, Lp | Other Private Fund | $33.1M | $500K | 42 |
| Parkside Vps Fund, Lp | Other Private Fund | $14.6M | $200K | 40 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Portland Cement Association Retirement Plan | Portland Cement Association | 0 | $84.2K | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/15/2026 | 1.35 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 pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Fidelity Brokerage Services $997M (69% of AUM) Jul 2026
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: Jul 31, 2026.
View current Form ADV (SEC/IAPD) ↗