Lockshield Partners provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 1–10 clients last fiscal year.
Lockshield Partners reports 1,116 clients. They include 1,053 individual clients, 60 high-net-worth individuals and 2 charitable organizations. Of its assets, 0.0% ($0 across 0 accounts) are managed with discretion; $291M across 1,717 accounts are not. It advised 10 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 94% | 64% |
| High-net-worth individuals | 5% | 36% |
| Pension and profit-sharing plans | <1% | <1% |
| Charitable organizations | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 1,053 | $186M | 63.8% | $176K |
| High-net-worth individuals | 60 | $104M | 35.8% | $1.74M |
| Pension and profit-sharing plans | Fewer than 5 | $685K | 0.2% | $685K |
| Charitable organizations | Fewer than 5 | $294K | 0.1% | $147K |
| Total | 1,116 | $291M | 100% | — |
- Clients
- 1,053
- Regulatory AUM
- $186M
- AUM share
- 63.8%
- Avg. per client
- $176K
- Clients
- 60
- Regulatory AUM
- $104M
- AUM share
- 35.8%
- Avg. per client
- $1.74M
- Clients
- Fewer than 5
- Regulatory AUM
- $685K
- AUM share
- 0.2%
- Avg. per client
- $685K
- Clients
- Fewer than 5
- Regulatory AUM
- $294K
- AUM share
- 0.1%
- Avg. per client
- $147K
Total
- Clients
- 1,116
- Regulatory AUM
- $291M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 10
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Lockshield Partners is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial planning
- Financial planning is a flat fee that varies with the complexity of the situation, half due in advance and the balance on completion, or an hourly option for less-intensive engagements.
Daniel Klein owns 75% or more of Lockshield Partners. The leadership team of Lockshield Partners includes Chief Compliance Officer Daniel Klein. It has 8 employees, 4 of them in advisory roles.
Leadership
- Daniel KleinChief Compliance Officer/Managing Member
- Jeremiah HarstonPartner
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
- Jeremiah Warren Harston
- Clark Hayden
- Daniel Joseph Klein
- John Patrick Morton Klein
Staff
- 8 employees
- 4 in advisory functions
- 4 state-registered reps
- Owns 75% or more of Lockshield Partners, Inc.
Daniel Klein
Control person · since March 2015
Lockshield Partners’ regulatory assets grew 1.8× from $159M (March 2021) to $291M (March 2026); clients rose from 709 to 1,116 and employees from 3 to 8.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $291M | 1,116 | 8 | 2 |
| March 2025 | $246M | 1,017 | 3 | 1 |
| February 2024 | $201M | 929 | 7 | 1 |
| July 2023 | $167M | 1,214 | 4 | 1 |
| March 2022 | $190M | 1,192 | 4 | 1 |
| March 2021 | $159M | 709 | 3 | 1 |
Besides its headquarters, Lockshield Partners has 1 office, with 2 listed addresses in Kentucky.
Kentucky · 2 listed addresses
- 301 South Broadway, GlasgowHQ
- 1415 US 31 W Bypass, Bowling Green
Contact and registration details
- Legal name
- Lockshield Partners, Inc.
- Headquarters
- 301 South Broadway, Glasgow, KY 42141
- Website
- lockshieldpartners.com
- Phone
- 270-629-2046
- SEC file
- 801-116877
- Structure
- Kentucky corporation
- Fiscal year end
- December
Lockshield Partners uses LPL Financial ($291M) as custodian for its separately managed accounts. Lockshield Partners has custody of $97M in client assets for 581 clients.
- LPL FinancialLPL Financial LLC · San Diego, CA · $291M100%
At year end, Lockshield Partners’ separately managed accounts were mostly in funds (91%).
What the accounts hold
- Stocks6%
- Funds91%
- Bonds3%
- U.S. government and agency bonds2%
- Investment grade corporate bonds1%
How many clients does Lockshield Partners have?
Lockshield Partners has 1,116 clients and manages $291 million for them, as of March 2026. They include 1,053 individual clients, 60 high-net-worth individuals and 2 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 12 March 2026
What services does Lockshield Partners offer?
Lockshield Partners provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Lockshield Partners use?
Lockshield Partners’ separately managed account assets are held at LPL Financial LLC (San Diego, CA), with $291M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 March 2026
How many financial advisors does Lockshield Partners have?
Lockshield Partners has 4 investment adviser representatives registered with state securities authorities, out of 8 employees, and 4 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
What does Lockshield Partners invest in?
At the end of its last fiscal year, Lockshield Partners’ separately managed accounts held 91% registered funds (mutual funds, ETFs, BDCs), 6% exchange-traded equities, 2% U.S. government and agency bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Lockshield Partners?
Lockshield Partners’ direct owner is Daniel Klein (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 12 March 2026
How does Lockshield Partners get paid?
Lockshield Partners is paid through a percentage of assets under management, hourly charges 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
Is Lockshield Partners registered with the SEC?
Yes, Lockshield Partners has been registered with the SEC as an investment adviser since 2 July 2019. Its CRD number is 175433 and its SEC file number is 801-116877.
Source: Form ADV Part 1A, Item 1, filed 12 March 2026; IAPD firm record
How do I contact Lockshield Partners?
Lockshield Partners’ main office is at 301 South Broadway, Glasgow, KY 42141. Its phone number is 270-629-2046. Its website is lockshieldpartners.com.