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. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. 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.