SourcingSourcing

VAN LEEUWEN & ASSOCIATES, INC.

B53
CRD 289463·SEC 801-111092·RICHMOND, KY
AUM
$559.4M
$500M-$1B
Est. Revenue
$5.6M
@ 1% on AUM
Est. EBITDA
$1.7M
@ 30% margin
Est. Deal Value
$13.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
VAN LEEUWEN & ASSOCIATES, INC.
CRD
289463
SEC file #
801-111092
EIN
—
DBA names
Van Leeuwen Retirement & Investment Services

Economics

AUM
$559.4M
AUM band
$500M-$1B
AUM trajectory
'20'26
$132.3M → $559.4M▲ +323%
Client mix
Individuals Other527
Individuals High Net Worth173
Pension Profit Sharing Plans4
Charitable Organizations1

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
2 advisors → 2 advisors▬ 0%
Primary office
RICHMOND KY
Branches
—

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/19/2026
ADV-W filed at
—
Website
vlretirement.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
VANLEEUWEN, MARK, DENNIS
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
5
Control Persons
VANLEEUWEN, MARK, DENNIS
ARNOLD, KRISTOFFER, DOUGLAS
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
VLRETIREMENT.COM
Rdap Domain Creation Date
2016-04-18T17:33:46Z
Rdap Firm Age Years
10
Rdap Firm Age Band
10-20y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.2192
Soi Zip Pct 200k Plus
0.0468
Soi Zip Returns 200k Plus
1,270
Soi Zip Total AGI
1,896,805
Fdic Zip Total Deposits
20,914,886,000
Fdic Zip Branch Count
679
Fdic Zip Top Banks
JPMorgan Chase Bank, National Association
Community Trust Bank, Inc.

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
2
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Lpl Financial4
E*trade4
Fdic Zip Branches Raw
Bank One, Lexington, National AssociationRichmond, KY
Bank One, Lexington, National AssociationRichmond, KY
Fdic Zip HHI
553.06
Fdic Zip Top Bank Share Pct
10.61
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2035-04-18T17:33:46Z
Rdap Domain Last Changed
2026-04-21T17:58:26Z
Rdap Nameservers
Ns19.worldnic.comNs20.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI100,073
Returns7,870
Stub 2
AGI244,632
Returns6,730
Stub 3
AGI242,612
Returns3,950
Soi Zip Total Business Income
51,797
Soi Zip Total Cap Gains
61,637
Soi Zip Total Dividends
19,261
Soi Zip Total Returns
27,150
Top Owner CRD
1139666
Trust Company Affiliate
No

People (5)

5
VANLEEUWEN, MARK, DENNIS
IAR · Direct Owner · 87.5%
1139666
ARNOLD, KRISTOFFER, DOUGLAS
IAR · Direct Owner · 37.5%
4395662
Van Leeuwen, Julia, A
Direct Owner · 17.5%
7315522
Van Leeuwen, Mark, A
Direct Owner · 17.5%
7315526
Van Leeuwen, Sarah, M
Direct Owner · 17.5%
7315525