440 Investment Group LLC

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440 Investment Group LLC
CRD #155399
SEC #801-71952
CIK #0001473174
AUM
Employees 4 (50% Investors, 25% Brokers)
Fees
Minimum
Phone913-904-5700
Address5700 W 112th St
Overland Park, KS 66211
Source [IAPD] [EDGAR] [Website]
Total AUM ($M)
16012896643202010201520202025
Fees and Compensation — Form ADV Part 2A (3/31/2017) [Brochure]
Item 5 – Fees and Compensation

All fees are subject to negotiation and all fee arrangements will comply with Section 205 of the
Advisers Act. The specific manner in which we charge fees for Separately Managed Account
(“SMA”) clients is established by the Agreement. The Agreement and/or a separate agreement
with a financial institution(s) or client will authorize 440 through the financial institution(s) to
debit a client’s account for the amount of the fee and to directly remit that management fee in
accordance with applicable custody rules, or alternatively, to bill the client for the fees incurred.
The financial institution(s) utilized by 440 have agreed to send a statement to the client, at least
quarterly, indicating all amounts disbursed from the account including the amount of
management fees paid directly to us.

Asset-based Compensation

We will generally bill our fees in advance on a quarterly basis based upon either the notional
value or market value of assets under management on the last day of the previous quarter
(including margin release, net unrealized appreciation or depreciation of investments of cash,
cash equivalents and accrued interest) depending on the strategy and Agreement in place. 440
will sometimes waive or reduce the fees applicable to certain clients. Fees applicable to the
account are negotiated on a case-by-case basis.

For the initial quarter of investment management services, the first quarter’s fees shall be
calculated on a pro rata basis. The Agreement between 440 and the client will continue in effect
until terminated by either party pursuant to the terms of the Agreement. Our annual fee shall be
prorated through the date of termination and any remaining balance shall be charged or refunded
to the client, as appropriate, in a timely manner.

Additions may be in cash or securities provided that we reserve the right to liquidate any
transferred securities, or decline to accept particular securities into a client’s account. We may
consult with our clients about the options and ramifications of transferring securities. However,
clients are advised that when transferred securities are liquidated, they are subject to transaction
fees, fees assessed at the mutual fund level (i.e. contingent deferred sales charge) and/or tax
ramifications.

Performance-based Compensation

For certain strategies, 440 will also be paid a performance-based fee, which is compensation that
is based on a share of capital gains or capital appreciation of the assets of a client, as defined in
the Agreement. The performance fee is equal to 15% of the annual net gains achieved in a
client’s account, subject to a perpetual high water mark. The performance fee is charged annually

in arrears, based upon the net portfolio gains achieved on a calendar year basis. Typically, the
performance-based fee is not negotiable. However, 440 reserves the right to waive, reduce or
require different fees from clients. Performance fees are further detailed in Item 6.

Other Expenses

Our fees are exclusive of brokerage commissions, transaction fees, and other related costs and
expenses which shall be incurred by our clients. Clients will incur certain charges imposed by
custodians, brokers, and other third parties such as custodial fees, deferred sales charges, odd-lot
differentials, transfer taxes, wire transfer and electronic fund fees, and other fees and taxes on
brokerage accounts and securities transactions. Such charges, fees and commissions are
exclusive of and in addition to our fee. Item 12 further describes our brokerage practices.
Account Minimums and Types of Clients — Form ADV Part 2A (3/31/2017) [Brochure]
Item 7 – Types of Clients

We generally provide investment advisory and/or consulting services to individuals (including
high net worth individuals), corporations or business entities. For the Premium Income strategy,
the minimum is $100,000. For all other strategies, we typically do not accept accounts below
$250,000. We reserve the right to waive the minimum in our sole discretion.
CIK Period
0001473174
Sector Form 13F Holdings Value ($M)
US Bancorp de 15.3
UnitedHealth Group Inc 8.0
3M Co 7.9
Microsoft Corp 4.9
Apple Inc 3.6
Techne Corp /MN/ 3.6
Walt Disney Co 3.3
Procter & Gamble Co 2.9
Medtronic Holdings Ltd 2.6
J P Morgan Chase & Co 2.5
Marriott International Inc /MD/ 2.4
Alphabet Inc 2.1
General Mills Inc 1.9
United Parcel Service Inc 1.8
Graco Inc 1.8
Starbucks Corp 1.8
McDonalds Corp 1.7
Home Depot Inc 1.7
AT&T Inc 1.6
Gilead Sciences Inc 1.6
Philip Morris International Inc 1.5
Wal Mart Stores Inc 1.4
Eaton Corp Ltd 1.4
Facebook Inc 1.2
Wisconsin Energy Corp 1.2
 
 
 
 
 
 
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Type Form D Funds Date Sold AUM
HF 440 Partners LP [2011-12-14] 36.1 M 27.9 M
Filed 2011-11-21 (D/A) · Exemption 506, 3(c), 3(c)(7) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
AUM Breakdown Accounts AUM ($M)
By Client Type
(a) Individuals (other than high net worth individuals) 0 0.0
(b) Individuals (high net worth individuals) 0 0.0
(c) Banking or thrift institutions 0 0.0
(d) Investment companies 0 0.0
(e) Business development companies 0 0.0
(f) Pooled investment vehicles 0 0.0
(g) Pension and profit sharing plans 0 0.0
(h) Charitable organizations 0 0.0
(i) State or municipal government entities 0 0.0
(j) Other investment advisers 0 0.0
(k) Insurance companies 0 0.0
(l) Sovereign wealth funds and foreign official institutions 0 0.0
(m) Corporations or other businesses not listed above 0 0.0
(n) Other 0 0.0
Total 158 156.6
By Discretionary
Discretionary 157 106.6
Non-Discretionary 1 50.0
Total 158 156.6
By Non-United States Persons
Non-United States Persons 0.0
United States Persons 156.6
Total 158 156.6
Form D Directors Role # Filings # Firms 2011 - 2026
Martin Bicknell Executive Officer 33 7
440 Investment Group LLC Promoter 1 1
EDGAR Form CIK 2011 - 2026
13F-HR [0001473174]
3 [0001473174]
Firm Profile (Form ADV)
Discretionary AUM$0.1B
Clients200 (2 non-US)
ServesRetail
Fund TypesHedge Fund
Form 3/4/5 Subject 2011 - 2026
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