Xa Investments LLC (Chicago)


Xa Investments LLC is an investment adviser to an investment company based in Chicago. It manages $107.41 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdiction of Illinois.

Xa Investments provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Xa Investments: assets under management

The assets under management (AUM) of Xa Investments LLC is $107.41 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -12% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $107.41 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $107.41 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Xa Investments LLC for their services and products based on a percentage of assets under management. 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 Xa Investments serves?

The only and largest group of clients of Xa Investments is investment companies with 1 clients and $107.41 million of assets under management. Among the 9 most similar advisory firms, Xa Investments has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $107.41 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Xa Investments doesn't advise any private funds.

Careers at Xa Investments LLC

The company employs 8 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative 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
Xms Asset Management Llc Member 1 Apr 2016 75% - 100% 81-2944972
John Flinn Spence Co-ceo 1 Apr 2016 Other 2079237
Theodore Joseph Brombach Co-ceo 1 Apr 2016 Other 1295389
Kimberly Ann Flynn Managing director 1 Apr 2016 Other 3072482
John Patrick Mcgarrity Managing director, general counsel and cco 1 Apr 2016 Other 4525196
Kimberly A Flynn Managing director 1 Apr 2016 Other 3072482

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Xms Holdings Llc Member 1 Apr 2016 75% - 100% 81-2964075

Based in Chicago

The principal office where Xa Investments LLC performs its advisory services is located at 321 N. Clark Street, Chicago, IL 60654, 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 312-374-6930 or by fax 708-575-3945. The normal business hours are 9:00 - 5:00 on Monday - Friday. You can find more information about the New York firm at xainvestments.com/.