Lizard Investors LLC (Chicago)

Name: Lizard Investors LLC
Address: 401 North Michigan Avenue, Chicago, IL, 60611
Telephone: (312) 803-7311

Lizard Investors LLC is a large advisory firm based in Chicago. It manages $520.09 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdiction of Illinois.

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

Lizard Investors: assets under management

The assets under management (AUM) of Lizard Investors LLC is $520.09 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 1525% since the beginning of its operation, and $127.55 million of the total AUM is attributable to clients outside of the United States.

The firm manages $520.09 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $260.05 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Lizard Investors LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Lizard Investors serves?

The only and largest group of clients of Lizard Investors is pooled investment vehicles with 2 clients and $520.09 million of assets under management. Among the 9 most similar advisory firms, Lizard Investors has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $520.09 million for 2 clients. 50% of the firm’s clients are foreign persons or businesses.

Lizard Investors also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Lizard Investors LLC

The company employs 11 people that are either part- or full-time employees. 55 percent of the employees work as investment advisers or researchers. No 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
Lzw Revocable Trust	Managing member	1 Oct 2007	50% - 75%	xxx-xx-xxxx
Legacy Trust	Managing member	1 Oct 2007	50% - 75%	37-6421005
Leah Joy Zell	Principal	1 Oct 2007	Other	1027599
Leah Zell Wanger	Principal	1 Oct 2007	Other	1027599
Glenn Paul O'flaherty	Chief compliance officer/chief financial officer/chief operating officer	1 Feb 2008	Other	1663645
John Michael Collins	Manager - financial reporting and operations, chief compliance officer	1 Jan 2009	Other	5633705
Marilyn Elizabeth Mccarthy	Chief compliance officer and chief operating officer	1 Jan 2009	Other	2223475
John Collins	Manager - financial reporting and operations	1 Jan 2009	Other	5633705
John Collins	Chief compliance officer and chief operating officer	1 Jan 2011	Other	2223475
Donna Holmes	Director - business development and client service	1 Sep 2011	Other	6174276
Jonathan Moog	Principal	1 Jan 2016	Other	6772796
Susan Merle Chamberlain	Chief compliance officer	1 Mar 2016	Other	4583675
Ty Trusgnich	Chief compliance officer	1 Mar 2017	Other	6771819
Jonathan Moog	Principal	1 Jun 2017	Other	6772796
Yufeng D Li	Principal	1 Jun 2017	Other	3020527
Ronald Leon Chin	Chief operating officer	1 Oct 2017	Other	2954947

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Leah Joy Zell	Trustee	1 Jul 1995	Other	1027599
Leah Zell Wanger	Trustee	1 Jul 1995	Other	1027599
Ralph Nmn Wanger	Trustee	1 Oct 2007	Other	458569
Ralph Wanger	Trustee	1 Oct 2007	Other	458569

Based in Chicago

The principal office where Lizard Investors LLC performs its advisory services is located at 401 North Michigan Avenue, Chicago, IL 60611, 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) 803-7311 or by fax (312) 803 -7338. The normal business hours are 8:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at lizardinvestors.com.