DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Locorr Fund Management, LLC
Latest filing Feb 26, 2026
First filing on the tape Mar 26, 2012 · 20 filings
SEC status approved since Feb 11, 2011
RAUM
$2.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$2.5B as of Feb 26, 2026
Mar 26, 2012$203M then
HNW client RAUM$0 as of Feb 26, 2026
Mar 16, 2018$0 then
State-registered IARs (5.B.3)0 as of Feb 26, 2026
Mar 26, 20120 then
Employees (5.A)8 as of Feb 26, 2026
Mar 19, 20134 then
Private funds: no history
RAUM -5.8% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $361MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$2.5B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Chadwick Jon Essen · Cfocontrolsince 11/2010 · owns less than 5%
- Michael Kevin Kinzie · Ceocontrolsince 11/2010 · owns less than 5%
- Chadwick Jon Essen · Managercontrolsince 04/2008 · owns F of Octavus Group, LLC
- Michael Kevin Kinzie · Managercontrolsince 08/2002 · owns 25% to 50% of Octavus Group, LLC
- Francis Brian Hull · Ccosince 11/2019 · owns less than 5%
Entity owners
- Octavus Group, LLC · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Locorr Distributors, LLCbroker-dealern
- Steben & Company, LLCinvestment advisernRAUM $69.2M
Advisers that list Locorr Fund Management, LLC as a related person
- 117808 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 7Mar 19, 2025 to Feb 26, 2026
- Discretionary RAUM · $2.7B to $2.5BMar 19, 2025 to Feb 26, 2026
- RAUM · $2.7B to $2.5BMar 19, 2025 to Feb 26, 2026
- Accounts · 1 to 6Mar 11, 2024 to Mar 19, 2025
- Financial planning clients · unset to Mar 11, 2024 to Mar 19, 2025
- Discretionary RAUM · $3.0B to $2.7BMar 11, 2024 to Mar 19, 2025
- RAUM · $3.0B to $2.7BMar 11, 2024 to Mar 19, 2025
- Discretionary RAUM · $4.4B to $3.0BMar 16, 2023 to Mar 11, 2024
- RAUM · $4.4B to $3.0BMar 16, 2023 to Mar 11, 2024
- Discretionary RAUM · $2.7B to $4.4BJan 22, 2023 to Mar 16, 2023
- RAUM · $2.7B to $4.4BJan 22, 2023 to Mar 16, 2023
- Discretionary RAUM · $2.0B to $2.7BMar 23, 2021 to Mar 8, 2022
- RAUM · $2.0B to $2.7BMar 23, 2021 to Mar 8, 2022
- Discretionary RAUM · $1.5B to $2.0BMar 26, 2020 to Mar 23, 2021
- RAUM · $1.5B to $2.0BMar 26, 2020 to Mar 23, 2021
- Related adviser · false to trueMar 26, 2020 to Mar 23, 2021
- Advisory activities · 1 to 3Dec 13, 2019 to Mar 26, 2020
- BD registered reps · 4 to 5Dec 13, 2019 to Mar 26, 2020
- Employees · 10 to 8Dec 13, 2019 to Mar 26, 2020
- Discretionary RAUM · $1.4B to $1.5BDec 13, 2019 to Mar 26, 2020
- RAUM · $1.4B to $1.5BDec 13, 2019 to Mar 26, 2020
- Discretionary RAUM · $1.3B to $1.4BMar 28, 2019 to Dec 13, 2019
- RAUM · $1.3B to $1.4BMar 28, 2019 to Dec 13, 2019
- Employees · 7 to 10Mar 16, 2018 to Mar 28, 2019
- Discretionary RAUM · $1.7B to $1.3BMar 16, 2018 to Mar 28, 2019
- RAUM · $1.7B to $1.3BMar 16, 2018 to Mar 28, 2019
- Advisory employees · 5 to 7Sep 22, 2017 to Mar 16, 2018
- BD registered reps · 3 to 4Sep 22, 2017 to Mar 16, 2018
- Charity clients · unset to 0.0Sep 22, 2017 to Mar 16, 2018
- Corporate clients · unset to 0.0Sep 22, 2017 to Mar 16, 2018
- HNW clients · unset to 0.0Sep 22, 2017 to Mar 16, 2018
- Individual clients · unset to 0.0Sep 22, 2017 to Mar 16, 2018
- Pension plan clients · unset to 0.0Sep 22, 2017 to Mar 16, 2018
- Pooled vehicle clients · unset to 0.0Sep 22, 2017 to Mar 16, 2018
- Employees · 5 to 7Sep 22, 2017 to Mar 16, 2018
- State-registered IARs · 3 to 0Sep 22, 2017 to Mar 16, 2018
- Other offices · unset to 0.0Sep 22, 2017 to Mar 16, 2018
- Discretionary RAUM · $2.3B to $1.7BSep 22, 2017 to Mar 16, 2018
- HNW RAUM · unset to 0.0Sep 22, 2017 to Mar 16, 2018
- Individual RAUM · unset to 0.0Sep 22, 2017 to Mar 16, 2018
Signals
5 dated events
- Locorr Fund Management, Llc reported RAUM $3.0B, down 33% from $4.4B (2023-03-16 to 2024-03-11)Mar 11, 2024 · RAUM change · derived
- Locorr Fund Management, Llc reported RAUM $4.4B, up 65% from $2.7B (2023-01-22 to 2023-03-16)Mar 16, 2023 · RAUM change · derived
- Locorr Fund Management, Llc reported RAUM $2.7B, up 36% from $2.0B (2021-03-23 to 2022-03-08)Mar 8, 2022 · RAUM change · derived
- Locorr Fund Management, Llc reported RAUM $2.0B, up 36% from $1.5B (2020-03-26 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- William Jason Roeske (Cco) no longer on Schedule A of Locorr Fund Management, Llc (listed 2019-03-28, absent 2019-12-13)Dec 13, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/locorr-fundsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- LOCORRFUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 952-767-6900reportedpublic record, Form ADV, Feb 26, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026