Wealth manager, wrap-program sponsor · Richmond, KY
Van Leeuwen Retirement & Investment Services
Van Leeuwen & Associates, Inc. · SEC-registered investment adviser · CRD 289463 · SEC 801-111092
At a glance
Van Leeuwen Retirement & Investment Services is an SEC-registered investment adviser based in Richmond, Kentucky, with $559 million in regulatory assets under management as of its Form ADV filed August 12, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 700 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 2,644th of 8,915 wealth managers and 7,381st of 17,210 SEC-registered advisers by assets.
Main office 859-626-3400vlretirement.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $559M
- Rank among wealth managers
- #2,644 of 8,915
- Rank among all SEC RIAs
- #7,381 of 17,210
- Rank in Kentucky
- #33 of 85
- Individual clients
- 700
- High-net-worth clients
- 173
- Accounts
- 1,231
- Discretionary
- 100% of AUM
- Employees
- 3
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Sarah M Van LeeuwenShareholder
- Mark D. VanleeuwenPresident and Chief Compliance Officer
- Kristoffer D. ArnoldInvestment Advisor Representative, Alternate Regulatory Contact
- Julia A Van LeeuwenShareholder
- Mark A Van LeeuwenShareholder
Custody and brokerage
Broker-dealer
Hybrid RIA
Van Leeuwen Retirement & Investment Services is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed August 2026) names LPL Financial, an unaffiliated broker-dealer, as the broker-dealer its advisers are registered with.
etirement & Investment Services are also investment advisor representatives of LPL Financial, an SEC registered investment advisor (CRD No. 6413) and separate unaffiliated legal entity. • Investment advisor representatives of Van Leeuwen R
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 173 | $358M | 64% |
| Individuals | 527 | $191M | 34% |
| Pension and profit sharing plans | 4 | $10M | 2% |
| Charitable organizations | 1 | $0M | <1% |
Disciplinary disclosures
Van Leeuwen Retirement & Investment Services reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗vlretirement.com ↗
AtlasMembers
The full record on Van Leeuwen Retirement & Investment Services
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
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- Growth over one, three and five years
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- Rank against 5,138 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Van Leeuwen Retirement & Investment Services manage?
Van Leeuwen Retirement & Investment Services reports $559 million in regulatory assets under management across 1,231 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 12, 2026.
What kind of firm is Van Leeuwen Retirement & Investment Services?
Van Leeuwen Retirement & Investment Services is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Van Leeuwen Retirement & Investment Services’s clients?
By assets, its largest client types are high-net-worth individuals ($358 million, 173 clients); individuals ($191 million, 527 clients); pension and profit sharing plans ($10 million, 4 clients).
Does Van Leeuwen Retirement & Investment Services have any disciplinary history?
Van Leeuwen Retirement & Investment Services reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Van Leeuwen Retirement & Investment Services’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-12), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →