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LOKKEN INVESTMENT GROUP, LLC

LEWES, DE · CRD 283696 · IAPD ↗ · 302-645-6650

$366.5MRegulatory AUM
3Advisory reps
4Employees
0Clients
51-100Planning clients
0Private funds
11States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
January 2026 — LOKKEN INVESTMENT GROUP, LLC (LEWES, DE) left the SEC roster (was $366.5M RAUM, 3 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
53
April 2025 — LOKKEN INVESTMENT GROUP, LLC shrank from 5 to 3 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
70
April 2025 — LOKKEN INVESTMENT GROUP, LLC reports 51-100 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
63
April 2024 — LOKKEN INVESTMENT GROUP, LLC reported RAUM up 28% ($235.8M -> $301.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.