Simon M Liegel

Current Employers

Employment History

• 04/2016 → Present
  Clf Asset Management, Inc.
  Madison, WI
• 11/2011 → Present
  Capitol Lakes Financial, Llp
  Madison, WI

Previous Registrations

• 2011-11-07 → 2016-06-29
  Woodbury Financial Services, Inc.
  Madison, WI
  Mcfarland, WI
  Naples, FL
• 2011-08-09 → 2011-11-11
  Signator Investors, Inc.
  Madison, WI

Other Businesses

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

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-07-28
• S63 Uniform Securities Agent State Law Examination
  2007-08-21