LCM CAPITAL MANAGEMENT INC

RIASEC RegisteredEst. 2007

Total AUM

$403M

Discretionary

$388M

96% of AUM

Avg account

$410K

Accounts

982

Employees

8

Advisory reps

9

Firm details

Headquarters: CHICAGO, Illinois
CRD number: 111074
Registered since: May 23, 2007
Website: www.lcmcapital.com
Custodians: CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure: Percentage of AUM, Fixed Fees
Client types: HNWI70.41%
Individuals17.14%
Pension & Profit Sharing Plans12.17%
Corporations / Businesses0.29%
Services: Portfolio Management for IndividualsPortfolio Management for Institutional ClientsPension Consulting

Firm profile

FINTRX

Overview

LCM Capital Management Inc is a small, privately owned investment adviser registered with the SEC since 2007. The firm serves both individual and family clients as well as institutional accounts, combining portfolio management for individuals, small businesses and institutions with pension consulting and insurance brokerage services. Its fee arrangements include percentage-of-assets and fixed-fee engagements. The firm does not identify itself as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities32%
Public Funds/Mutual Funds30%
State & Local Bonds22%
Cash & Cash Equivalents8%
US Government Bonds7%

Owners & executives

2 of 2

GARY WOZNY
Co-Founder, Chairman & CEOCRD 1749964
STEPHEN ROYCE
Chief Information OfficerCRD 5379406

Contacts

3 of 7

ALBENA WOZNY
OwnerCRD 5120839
DEREK FRALEY
AdvisorCRD 5862680
STEPHANIE JOHNSON
Executive AssistantCRD 7625208

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 14

Active vs passive

$98.2M in ETFs

Passive

98%

$96.4M

Active

0%

$1.8M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
SPDR S&P MIDCAP 400 ETF TRUST (MDY)	State Street	Passive	Mid Cap Blend	$27M	43,713	27.47%

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Primary office

CHICAGO, IL

COOK

Location

CHICAGO, IL

Headquartered in CHICAGO, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area: Chicago-Naperville, IL-IN-WI
Region: Midwest
County: COOK
Address: 209 W Jackson Blvd
Time zone: CT (UTC-6)
Office locations

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