Herrick Lake Investments LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Herrick Lake Investments LLC provides portfolio management and financial planning to individual and high-net-worth clients, managing roughly $6.0 million across about 21 accounts. The firm documents client objectives and risk tolerance in an Investment Policy Statement and offers ongoing monitoring and discretionary portfolio management when authorized.
The adviser uses a broad mix of analytical methods—fundamental, quantitative, technical, charting, cyclical analysis and modern portfolio theory—and employs long-term trading alongside derivatives strategies. Portfolios may include margin and options trading (including uncovered options and spread strategies) and exposure to mutual funds, ETFs, real estate funds/REITs, commodities, non-U.S. securities, private placements and venture capital, which can add complexity and material risk to client accounts.
Operationally, the firm requires clients to custody assets at Interactive Brokers, does not participate in wrap fee programs or accept performance-based fees, and reports it receives no soft-dollar benefits. The brochure also discloses that the adviser’s principal operates an independent investment research business and may offer related services to clients, a relationship the firm says it will manage as a potential conflict of interest.
Client services
Expertise
Occupation focus
Fee options
$3,000 fixed fee for financial plans
$0 - $2,000,000: 0.85% $2,000,001 - $5,000,000: 0.70% $5,000,001 - $10,000,000: 0.55% $10,000,001+: 0.40%
$300/hour
Main office
1155 South Washington Street, #105
Naperville IL 60540
Advisors at this office
1
Most active in
Illinois
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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