{"url":"https://nivawealth.com/firms/lcg-associates-105971","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/105971","regulatoryAum":2608655710,"crd":"105971","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7578849","suffix":null,"lastName":"Brumett","firstName":"Zachary","middleName":"Logan"},{"crd":"2511660","suffix":"JR","lastName":"DANIEL","firstName":"ANTHONY","middleName":"MORGAN"},{"crd":"4337932","suffix":null,"lastName":"LUBIN","firstName":"MICHAEL","middleName":"TODD"},{"crd":"4337936","suffix":null,"lastName":"RITTER","firstName":"DAVID","middleName":"DANIEL"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-05-11","regulatoryAum":1044791279,"clients":93,"employees":53,"offices":3},{"filedOn":"2022-03-28","regulatoryAum":1387306433,"clients":95,"employees":55,"offices":3},{"filedOn":"2023-07-27","regulatoryAum":1736482578,"clients":100,"employees":55,"offices":3},{"filedOn":"2024-03-27","regulatoryAum":1962074219,"clients":101,"employees":62,"offices":3},{"filedOn":"2025-03-27","regulatoryAum":2422218740,"clients":104,"employees":56,"offices":3},{"filedOn":"2026-03-26","regulatoryAum":2608655710,"clients":108,"employees":58,"offices":3}],"secFileNumber":"801-17169","legalName":"LCG Associates, Inc.","displayName":"LCG Associates","slug":"lcg-associates-105971","website":"https://lcgassociates.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/105971/120f0eef73acaa59-r1.webp","tone":"light","width":413,"height":200,"sourceUrl":"https://www.lcgassociates.com/","sourceLabel":"LCG Associates, Inc., website"},"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_consultant","typeLabel":"Consultant","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/lcg-associates/","founded":null,"organization":"Illinois corporation","fiscalYearEnd":"December","headquarters":{"street":"400 Galleria Parkway, Suite 1800","city":"Atlanta","state":"GA","stateName":"Georgia","country":"United States","postalCode":"30339-5953"},"tradeNames":[],"registration":{"secApproved":"17 May 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IL","smaAssets":682670940},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":621777442},{"name":"US Bank, N.A.","shortName":"US Bank, N.A.","location":"Cincinnati, OH","smaAssets":392780397},{"name":"Principal Bank","shortName":"Principal Bank","location":"Des Moines, IA","smaAssets":439772957}],"custodyNote":"LCG Associates does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Kathryn Chotiner","title":"President / Director","crd":"4732378"},{"name":"Amber Stiles","title":"Chief Compliance Officer / Director","crd":"6613032"},{"name":"James Challen","title":"Chairman of the Board / CEO / Director","crd":"4419585"},{"name":"Anthony Daniel","title":"Senior V.P. / Director","crd":"2511660"},{"name":"David Emerson","title":"Senior V.P. / Director","crd":"2771141"},{"name":"Brian Falco","title":"Senior V.P. / Director","crd":"4337927"},{"name":"Scott Freeman","title":"Senior V.P. / Director","crd":"1666206"},{"name":"Michael Lubin","title":"Senior V.P. / Director","crd":"4337932"},{"name":"James McElroy","title":"Senior V.P. / Director","crd":"8065261"},{"name":"David Ritter","title":"Senior V.P. / Director","crd":"4337936"}],"ownership":[{"label":"LCG Holdings, Inc.","detail":"Parent of applicant in the 75% or more ownership band and a control person, since September 1979."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"Georgia","offices":1,"addresses":[{"street":"400 Galleria Parkway, Suite 1800","city":"Atlanta","headquarters":true}]},{"state":"Texas","offices":1,"addresses":[{"street":"12700 Park Central Drive","city":"Dallas"}]},{"state":"Washington","offices":1,"addresses":[{"street":"1700 Seventh Avenue","city":"Seattle"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"770-644-0100","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":17},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":54},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":22},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":1,"detail":"Real Estate Holdings"}],"privateFunds":0},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/105971/PDF/105971.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does LCG Associates have?","answer":"LCG Associates has 108 clients and manages $2.61 billion for them, as of March 2026. They include 55 charitable organizations, 37 corporations and other businesses, and 10 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does LCG Associates offer?","answer":"LCG Associates provides portfolio management for institutions, pension consulting and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does LCG Associates use?","answer":"LCG Associates’ separately managed account assets are held at Northern Trust (Chicago, IL), with $683M, Charles Schwab & Co., Inc. (Westlake, TX), with $622M, Principal Bank (Des Moines, IA), with $440M and US Bank, N.A. (Cincinnati, OH), with $393M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does LCG Associates have?","answer":"LCG Associates has 4 investment adviser representatives registered with state securities authorities, out of 58 employees, and 48 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does LCG Associates invest in?","answer":"At the end of its last fiscal year, LCG Associates’ separately managed accounts held 54% registered funds (mutual funds, ETFs, BDCs), 22% pooled vehicles (private funds and similar), 17% exchange-traded equities, 2% U.S. government and agency bonds, 2% investment grade corporate bonds, 1% state and local bonds, 1% cash and equivalents and 1% other. The 1% other category is described as: Real Estate Holdings.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns LCG Associates?","answer":"LCG Associates’ direct owner is LCG Holdings, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does LCG Associates get paid?","answer":"LCG Associates is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact LCG Associates?","answer":"LCG Associates’ main office is at 400 Galleria Parkway, Suite 1800, Atlanta, GA 30339-5953. Its phone number is 770-644-0100. Its website is lcgassociates.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}