AdvisorCensus / Financial advisors / Spring Lake Asset Management, Inc.
Spring Lake Asset Management, Inc. is an SEC-registered investment advisory firm, registered since 2016, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 20, 2026.
Quick answers
From the filingHow is Spring Lake Asset Management, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Spring Lake Asset Management, Inc. reports these compensation arrangements: a percentage of assets under its management; performance-based fees.
How much does Spring Lake Asset Management, Inc. charge?
Its Form ADV Part 2A brochure dated March 20, 2026 states: Asset-based fee: 1.5% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Is Spring Lake Asset Management, Inc. registered with the SEC or a state?
Spring Lake Asset Management, Inc. is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 283750.
How much does Spring Lake Asset Management, Inc. manage?
Spring Lake Asset Management, Inc. reports $1,472,333,834 in regulatory assets under management in its Form ADV filing dated March 20, 2026 (100% discretionary).
How have Spring Lake Asset Management, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Spring Lake Asset Management, Inc.: Regulatory assets under management: $890,733,295 in the October 2021 data and $1,472,333,834 in the October 2026 data, up 65%. Total employees: 7 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Spring Lake Asset Management, Inc. serve?
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (4).
Does Spring Lake Asset Management, Inc. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/283750
Does Spring Lake Asset Management, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated March 20, 2026 says: "The current minimum initial investment in the Fund s is $1,000,000. However, Adviser may, in its sole discretion, permit investments that are less than this minimum."
What changed in Spring Lake Asset Management, Inc.'s recent Form ADV filings?
In the April 2026 filing data: Employees performing advisory functions went from 6 to 8. Regulatory assets under management went from $1,117,593,761 to $1,472,333,834 (+32%). Added an office in Summit, NJ.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Performance-based fees
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 1.5% of assets a year
The brochure's wording
As compensation for investment advisory services rendered to the Funds, Adviser receives an annual management fee (“Management Fee”) equal to 1.50% of the Funds’ assets.
Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)
The brochure's wording
The current minimum initial investment in the Fund s is $1,000,000. However, Adviser may, in its sole discretion, permit investments that are less than this minimum.
As stated in the firm's Form ADV Part 2A brochure dated March 20, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$1,472,333,834 as of October 2026, filing dated March 20, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for pooled investment vehicles (other than investment companies)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2016 (10 years)
- Employees
- Total: 10. Performing investment advisory functions: 8.
- Wrap fee program participation
- No.
- Other offices (Schedule D, Section 1.F)
-
2 other offices, as of the April 2026 filing
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $1,472,333,834 | 10 | March 20, 2026 |
| October 2025 | $1,117,593,761 | 8 | March 26, 2025 |
| October 2024 | $1,085,978,179 | 8 | March 19, 2024 |
| October 2023 | $836,636,656 | 8 | March 14, 2023 |
| October 2022 | $1,131,166,958 | 7 | May 5, 2022 |
| October 2021 | $890,733,295 | 7 | June 2, 2021 |
Regulatory assets under management: $890,733,295 in the October 2021 data and $1,472,333,834 in the October 2026 data, up 65%.
Total employees: 7 in October 2021 and 10 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Employees performing advisory functions went from 6 to 8.
- Regulatory assets under management went from $1,117,593,761 to $1,472,333,834 (+32%).
- Added an office in Summit, NJ.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Spring Lake Asset Management, Inc. (CRD 283750): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/spring-lake-asset-management-inc-283750