{"url":"https://nivawealth.com/firms/leo-fund-services-163259","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/163259","regulatoryAum":151329901,"crd":"163259","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3267821","suffix":null,"lastName":"ALLAIN","firstName":"MATTHEW","middleName":"JAMES"},{"crd":"4621321","suffix":null,"lastName":"BOHLINGER","firstName":"MICHAEL","middleName":"ANTHONY"},{"crd":"2417378","suffix":null,"lastName":"DUGAN","firstName":"KENNETH","middleName":"FRANCIS"},{"crd":"4024339","suffix":null,"lastName":"KATZ","firstName":"ERIC","middleName":"SCOTT"},{"crd":"5696522","suffix":null,"lastName":"SAVVA","firstName":"PETER","middleName":"M"}],"total":5,"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":"2021-05-05","regulatoryAum":52545000,"clients":1,"employees":10,"offices":2},{"filedOn":"2022-05-10","regulatoryAum":82570675,"clients":2,"employees":10,"offices":2},{"filedOn":"2023-03-21","regulatoryAum":104511349,"clients":2,"employees":7,"offices":2},{"filedOn":"2024-03-18","regulatoryAum":107076998,"clients":3,"employees":7,"offices":2},{"filedOn":"2025-03-21","regulatoryAum":167874569,"clients":4,"employees":6,"offices":2},{"filedOn":"2026-03-19","regulatoryAum":151329901,"clients":4,"employees":6,"offices":2}],"secFileNumber":"801-76889","legalName":"Leo Fund Services, LLC","displayName":"Leo Fund Services","slug":"leo-fund-services-163259","website":null,"classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"379 Thornall Street, Floor 9-Suite 9","city":"Edison","state":"NJ","stateName":"New Jersey","country":"United States","postalCode":"08837"},"tradeNames":[],"registration":{"secApproved":"2 August 2012","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":6,"advisory":5,"brokerDealerReps":3,"insuranceAgents":5,"promoters":0},"aum":{"regulatory":151329901,"discretionary":151329901,"discretionaryAccounts":4,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":37,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":4,"regulatoryAum":151329901}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Leo Fund Services has custody of $82.6M in client assets for 2 clients.","leadership":[{"name":"Jon Rustin","title":"Chief Financial Officer","crd":"6445364"},{"name":"Matthew Allain","title":"Chief Compliance Officer","crd":"3267821"},{"name":"Matthew Allain","title":"CEO","crd":"3267821"}],"ownership":[{"label":"Leo Capital Operations","detail":"Member in the 75% or more ownership band and a control person, since October 2017."},{"label":"Leo Capital Corp","detail":"Indirect owner: a owner of Leo Capital Operations in the 75% or more band and a control person, since July 2021.","parent":"Leo Capital Operations"}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"New Jersey","offices":1,"addresses":[{"street":"379 Thornall Street, Floor 9-Suite 9","city":"Edison","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"45 Rockefeller Plaza","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"732-903-2600","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":4},"sources":{"adv1FilingDate":"19 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/163259/PDF/163259.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 Leo Fund Services have?","answer":"Leo Fund Services has 4 clients and manages $151 million for them, as of March 2026. They include 4 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Leo Fund Services offer?","answer":"Leo Fund Services provides portfolio management for pooled vehicles 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":"How many financial advisors does Leo Fund Services have?","answer":"Leo Fund Services has 5 investment adviser representatives registered with state securities authorities, out of 6 employees, and 5 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 5 employees are 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":"Who owns Leo Fund Services?","answer":"Leo Fund Services is owned through a holding company by Leo Capital Corp. Its direct owner is Leo Capital Operations (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Leo Fund Services get paid?","answer":"Leo Fund Services is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions 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":"Is Leo Fund Services registered with the SEC?","answer":"Yes, Leo Fund Services has been registered with the SEC as an investment adviser since 2 August 2012. Its CRD number is 163259 and its SEC file number is 801-76889.","source":"Form ADV Part 1A, Item 1, filed 19 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Leo Fund Services?","answer":"Leo Fund Services’ main office is at 379 Thornall Street, Floor 9-Suite 9, Edison, NJ 08837. Its phone number is 732-903-2600.","source":"Form ADV Part 1A, Item 1.F, filed 19 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."}