{"url":"https://nivawealth.com/firms/lockshield-partners-175433","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/175433","regulatoryAum":290617759,"crd":"175433","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5863764","suffix":null,"lastName":"HARSTON","firstName":"JEREMIAH","middleName":"WARREN"},{"crd":"6578608","suffix":null,"lastName":"Hayden","firstName":"Clark","middleName":null},{"crd":"3213917","suffix":null,"lastName":"KLEIN","firstName":"DANIEL","middleName":"JOSEPH"},{"crd":"8231227","suffix":null,"lastName":"Klein","firstName":"John","middleName":"Patrick Morton"}],"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":"2021-03-10","regulatoryAum":159358858,"clients":709,"employees":3,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":189924314,"clients":1192,"employees":4,"offices":1},{"filedOn":"2023-07-24","regulatoryAum":166899181,"clients":1214,"employees":4,"offices":1},{"filedOn":"2024-02-27","regulatoryAum":200923101,"clients":929,"employees":7,"offices":1},{"filedOn":"2025-03-21","regulatoryAum":245759047,"clients":1017,"employees":3,"offices":1},{"filedOn":"2026-03-12","regulatoryAum":290617759,"clients":1116,"employees":8,"offices":2}],"secFileNumber":"801-116877","legalName":"Lockshield Partners, Inc.","displayName":"Lockshield Partners","slug":"lockshield-partners-175433","website":"https://lockshieldpartners.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/175433/51189825466bfc8f-r1.webp","tone":"light","width":951,"height":200,"sourceUrl":"https://www.lockshieldpartners.com/","sourceLabel":"Lockshield Partners, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Kentucky corporation","fiscalYearEnd":"December","headquarters":{"street":"301 South Broadway","city":"Glasgow","state":"KY","stateName":"Kentucky","country":"United States","postalCode":"42141"},"tradeNames":[],"registration":{"secApproved":"2 July 2019","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":260232.31985624437,"staff":{"employees":8,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":290617759,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":290617759,"nonDiscretionaryAccounts":1717,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":10},"clientTypes":[{"label":"Individuals (other than HNW)","clients":1053,"regulatoryAum":185528487},{"label":"High-net-worth individuals","clients":60,"regulatoryAum":104110085},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":684877},{"label":"Charitable organizations","clients":2,"fewerThan5":true,"regulatoryAum":294310}],"feePrograms":[{"role":"other","program":"Financial planning","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018276","versionId":1018276,"submittedOn":"2026-03-12","documentName":"FORM ADV PART 2A & 2B - FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T15:09:58.233984+00:00","documents":[{"name":"FORM ADV PART 2A & 2B - FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018276","versionId":1018276,"submittedOn":"2026-03-12"}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"San Diego, CA","smaAssets":290617759}],"custodyNote":"Lockshield Partners has custody of $97M in client assets for 581 clients.","leadership":[{"name":"Daniel Klein","title":"Chief Compliance Officer/Managing Member","crd":"3213917"},{"name":"Jeremiah Harston","title":"Partner","crd":"5863764"}],"ownership":[{"label":"Daniel Klein","detail":"Chief compliance officer/managing member in the 75% or more ownership band and a control person, since March 2015."}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Kentucky","offices":2,"addresses":[{"street":"301 South Broadway","city":"Glasgow","headquarters":true},{"street":"1415 US 31 W Bypass","city":"Bowling Green"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"270-629-2046","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":6},{"label":"U.S. government/agency bonds","percent":2},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":91}],"privateFunds":0},"sources":{"adv1FilingDate":"12 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/175433/PDF/175433.pdf","brochureDate":"12 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018276","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Lockshield Partners have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Lockshield Partners offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Lockshield Partners use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Lockshield Partners have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Lockshield Partners invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Lockshield Partners?","answer":"Lockshield Partners’ direct owner is Daniel Klein (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Lockshield Partners get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Lockshield Partners registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Lockshield Partners?","answer":"Lockshield Partners’ main office is at 301 South Broadway, Glasgow, KY 42141. Its phone number is 270-629-2046. Its website is lockshieldpartners.com.","source":"Form ADV Part 1A, Item 1.F, filed 12 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."}