Lexington, KY Monarch Office
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ON Investment Management CO
Multi-team
Firm-wide stats for ON Investment Management CO
About
O.N. Investment Management Company (ONIMCO) is a SEC-registered investment adviser and a subsidiary of The O.N. Equity Sales Company (ONESCO) that provides financial planning, portfolio management, and retirement-plan advisory services to individuals (including high-net-worth clients), families, trusts, estates, charitable organizations, businesses, and ERISA plan sponsors. Services include comprehensive and modular financial plans, specialized hourly or fixed-fee services, and access to a range of third-party investment programs (for example, American Funds, Envestnet, SEI, AssetMark) as well as IAR-directed Envestnet programs.
Advisers at ONIMCO commonly hold FINRA Series 6/7 and/or Series 65/66 credentials and frequently act as registered representatives of the affiliated broker-dealer, recommending third-party managers or constructing portfolios in IAR-directed programs. Although the firm offers discretionary Envestnet programs where IARs may exercise discretion, ONIMCO reports that most of its assets under management are non-discretionary ($2,248,084,369 non-discretionary vs. $904,464,800 discretionary), and client accounts are managed through a mix of discretionary third-party managers and non-discretionary advisory relationships.
What is notable relative to many large advisers is the firm’s ongoing broker-dealer activity and dual-registration model—its IARs often transact as registered representatives and ONIMCO maintains solicitor arrangements and revenue relationships with program sponsors. The brochure also discloses a prior SEC enforcement matter concerning mutual fund share-class selection and revenue sharing (resulting in an SEC order, remediations including rebating 12b-1 fees since March 2017, and payments of disgorgement, prejudgment interest, and a monetary penalty), which the firm identifies as a significant compliance and remediation item.
Based on ON Investment Management CO
Expertise
Based on ON Investment Management CO
Location
1029 Monarch, Suite 150
Lexington KY 40513
Advisors at this office
3
Advisors at this office
Adam H
Series 63, Series 65
Lexington, KY
ON Investment Management CO
Adam Howard is a financial advisor with ON Investment Management Company in Lexington, Kentucky, holding Series 63 and Series 65 credentials and 10 years of industry experience. He has worked at Ohio National Financial Services and The O.N. Equity Sales Company since 2015, and previously at IFS Financial Services and Touchstone Securities, Inc. He is also the owner of Envisage Wealth Advisors LLC. ON Investment Management Company is a SEC-registered investment adviser and subsidiary of The O.N. Equity Sales Company, providing financial planning, portfolio management, and retirement-plan advisory services to a wide range of clients, including individuals, families, trusts, charitable organizations, businesses, and ERISA plan sponsors. The firm offers both discretionary and non-discretionary account management through third-party programs and maintains a dual-registration model with broker-dealer activity.
Scott Z
Series 65, Series 63
Lexington, KY
ON Investment Management CO
Scott Zavitz is an advisor at ON Investment Management Company with Series 63 and Series 65 credentials. He has worked in related fields since 2015, including roles at The O.N. Equity Sales Company, McClatchy LLC, Premier Sotheby's, and Sunlit Realty. ON Investment Management Company is a SEC-registered investment adviser serving individuals, families, trusts, charitable organizations, businesses, and retirement plan sponsors. The firm offers financial planning, portfolio management, and retirement-plan advisory services through a combination of discretionary and non-discretionary strategies, frequently utilizing third-party investment programs.
Warren H
Series 63, Series 65
Lexington, KY
ON Investment Management CO
Warren Howard is a financial advisor with ON Investment Management Company in Lexington, KY, holding Series 63 and Series 65 licenses and bringing 44 years of industry experience. He has worked at Lexington Financial Service since 2004, The O.N. Equity Sales Company since 1985, and Ohio National Life Insurance since 1981. Outside of advisory roles, he is involved in medical and life insurance sales through his business, Lexington Financial Services. ON Investment Management Company is a SEC-registered adviser serving individuals, families, trusts, charitable organizations, businesses, and ERISA plan sponsors. The firm provides financial planning, portfolio management, and retirement-plan advisory services, offering both discretionary and non-discretionary investment programs including third-party managers.
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