← Directory
LOCKTON INVESTMENT ADVISORS, LLC
CRD 144133File 801-68005
APPROVED
Filing as of Jul 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
Not reported
Discretionary AUM
Not reported
Clients
0
Not reported accounts
Employees
24
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- Jun 18, 2007
- Principal office
- 7045 COLLEGE BLVD, 5TH FLOOR, OVERLAND PARK, KS, 66211
- Phone
- 816-960-9000
- Website
- HTTP://WWW.LOCKTON.COM/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- Not reported
- Discretionary AUM
- Not reported
- Non-discretionary AUM
- Not reported
- Discretionary accounts
- Not reported
- Non-discretionary accounts
- Not reported
- Total accounts
- Not reported
- AUM per client
- —
Clients by type
ADV Item 5DNo client-type detail reported.
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — REFFERAL FEE
Advisory activities
- Other advisory activities
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 12, 2026 | AUM | $0 | — | |
| Aug 12, 2026 | Accounts | 0 | — | |
| Dec 1, 2025 vs May 1, 2025 | Employees | 27 | 24 | decreased by3 |
| Aug 1, 2022 | Employees | 128 | 27 | decreased by101 |
| Aug 1, 2022 | Clients | 410 | 0 | decreased by410 |
| Aug 1, 2022 | AUM | $21,561,674,362 | $0 | decreased by$21,561,674,362 |
| Aug 1, 2022 | Accounts | 410 | 0 | decreased by410 |
| Aug 1, 2021 | Employees | 133 | 128 | decreased by5 |
| Aug 1, 2021 | Clients | 266 | 410 | increased by144 |
| Aug 1, 2021 | AUM | $7,570,017,688 | $21,561,674,362 | increased by$13,991,656,674 |
| Aug 1, 2021 | Accounts | 266 | 410 | increased by144 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “LOCKTON INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“LOCKTON INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.