Simon M. Liegel
CLF ASSET MANAGEMENT
Madison, WI 53717
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CRD#: 5382538
Professional summary
Simon M Liegel, CFP®, ChFC® is a registered financial advisor currently at CLF ASSET MANAGEMENT, INC. located in Madison, Wisconsin.
Simon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Simon has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Capitol Lakes Financial, LLP Simon M. Liegel has common control and ownership of Capitol Lakes Financial, LLP, an insurance agency and as such is separately licensed as an independent insurance agent. In this capacity, he can affect transactions in insurance products for his clients and earn commissions for these activities. The fees you pay our firm for advisory services are separate and distinct from the commissions earned by Mr. Liegel for insurance related activities. This presents a conflict of interest because Mr. Liegel may have an incentive to recommend insurance products to you for the purpose of generating commissions rather than solely based on your needs. However, you are under no obligation, contractually or otherwise, to purchase insurance products through any person affiliated with our firm. 2) Driftless Extracts, LLC Simon M. Liegel has made a founder-level investment in Driftless Extracts LLC, an industrial hemp processing and extraction company. His equity interest does not permit serving on the board of mangers nor is he currently an officer or employee of the company, but he could economically benefit in the form of dividends if the company is successful. This presents a conflict of interest between advisory clients who choose to consider an investment in Driftess Extracts LLC. Any investor considering an investment in Driftless Extracts LLC is required to conduct their own analysis of the merits and risks of the investment and make their own determination about whether or not to invest in an active offering. Mr. Liegel is not acting as an advisor to any CLFAM clients in connection with this investment. Because of this conflict of interest he strongly encourages any investor to consult with his or her own independent legal counsel, accountant, and any other advisor or professional (including another investment advisor professional) with specific reference to the investor's own tax and financial situation, prior to making an investment. You are under no obligation, contractually or otherwise, to participate through any person affiliated with our firm. 3)Natural Materials Technology Accelerator Simon M. Liegel is one of four directors of the Natural Materials Technology Accelerator. This is a 501c3 registered non-profit aiming to do long-term research into commercial fiber separation facilities. Mr. Liegel is not compensated for participation in this entity. The purpose of the entity is to accelerate technology surrounding natural fibers and overall carbon sequestration. 4) Simon M. Liegel is a passive, non-managing member of MEDS Properties, LLC, a manager-managed limited liability company (LLC). As a passive member, Simon does not participate in the day-to-day management or decision-making of the LLC. The ownership interest held in the LLC does not conflict with Simon's duties and obligations as an IAR at CLF Asset Management, Inc. The IAR's involvement is limited to ownership and does not involve active management or operational responsibilities within the company. This disclosure is made in accordance with the requirements set forth by CLF Asset Management, Inc. to ensure transparency and compliance with regulatory obligations. 5)Simon Liegel, an Investment Adviser Representative (IAR) of CLF Asset Management, Inc. is a holder of the prestigious Enrolled Agent (EA) designation, awarded by the Internal Revenue Service (IRS). The EA designation is granted to tax professionals who have demonstrated an advanced level of expertise in federal tax matters through a rigorous examination process or through experience as a former IRS employee. Enrolled Agents are the only tax professionals who are federally-authorized to represent clients before the IRS in all matters, including audits, collections, and appeals, without limitation. While Simon possesses this specialized qualification, it is important to note that their role as an IAR with [Firm Name] is distinct from their tax-related services. The ad
CRS (Client Relationship Summary) - RIA
Click below to view Simon M Liegel's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2018
Experience
Current
June 27, 2016 - Present
CLF ASSET MANAGEMENT, INC.
Office #1: 999 Fourier Drive Suite 301, Madison, WI 53717RIA
CRD#: 284060
Madison, WI
Past
November 7, 2011 - June 29, 2016
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
MADISON, WI
Past
November 7, 2011 - June 29, 2016
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
MADISON, WI
Past
August 9, 2011 - November 11, 2011
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
MADISON, WI
Past
August 8, 2007 - November 11, 2011
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
MADISON, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CLF ASSET MANAGEMENT, INC.
CLF ASSET MANAGEMENT INC. | CLF ASSET MANAGEMENT, INC.
CRD#: 284060 / SEC#: 801-131455
RIA
Registered Investment Advisory firm - (12/6/2024 Approved)Illinois
Registered Investment Advisory firm - (12/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (12/26/2024 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Wisconsin(6/27/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CA
CLF ASSET MANAGEMENT, INC.
CLF ASSET MANAGEMENT INC. | CLF ASSET MANAGEMENT, INC.
CRD#: 284060 / SEC#: 801-131455
RIA
Registered Investment Advisory firm - (12/6/2024 Approved)Illinois
Registered Investment Advisory firm - (12/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (12/26/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
999 Fourier Drive Suite 301, Madison, WI 53717
Mailing Address
Phone number
(888) 505-3956
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 990 |
| AUM (Assets Under Management) | $ 110,460,547 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CLF ASSET MANAGEMENT, INC.
CRD#: 284060Madison, WI 53717TRUST BUT VERIFY
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