Marshall Investment Management, LLC (Littleton)

Name: Marshall Investment Management, LLC
Address: 10822 W. Toller Drive, Littleton, CO, 80127
Telephone: 303-991-6415

Marshall Investment Management, LLC is a large advisory firm based in Littleton. It manages $100.56 million of regulatory assets for 455 client accounts. It has been registered with the SEC as an adviser since 2019 and has operated in the jurisdictions of Colorado, Maryland, New Mexico, Texas, and Virginia.

Marshall Investment Management provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and selection of other advisers. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Marshall Investment Management: assets under management

The assets under management (AUM) of Marshall Investment Management, LLC is $100.56 million, all of which is managed in discretionary accounts. $262.24 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $100.56 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $221.02 thousand each.

Marshall Investment Management has custody of $16.93 million in cash and securities for 98 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 65% of the total AUM. The second-largest asset type is exchange traded securities, which make up 25% of the firm’s portfolio. Investments in cash and cash equivalents form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Marshall Investment Management, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Marshall Investment Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Marshall Investment Management is individuals with 291 clients and $76.41 million of assets under management. Among the 12 most similar advisory firms, Marshall Investment Management has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $100.56 million for 305 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Marshall Investment Management doesn't advise any private funds.

Careers at Marshall Investment Management, LLC

The company employs 4 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 4 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
Dennis Edward Marshall	Owner, president	1 Jan 2015	75% - 100%	3094109
Sharon Joy Evans	Chief compliance officer	1 Jan 2015	Other	4146079
Kristin Lynn Schoenfelder	Investment manager	1 Jan 2019	Other	5534502

Based in Littleton

The principal office where Marshall Investment Management, LLC performs its advisory services is located at 10822 W. Toller Drive, Littleton, CO 80127, which is also the mailing address of the firm. An additional office of the firm is in Las Cruces, NM. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 303-991-6415 or by fax 303-479-7211. The normal business hours are 8:00 to 4:00 on Monday - Friday. You can find more information about the New York firm at investwithmarshall.com.