Ask: Wisconsin investor research page.

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Natural language is mapped to bounded SEC/IARD and Form ADV research. Registration is not endorsement, and missing evidence is not a clean history.

We interpreted your question as

Research task: firm discovery
Firm class: RIA + ERA (separate classes)
office state: WI — APPLIED

Natural-language parsing and regulatory execution stay separate. Change the question and resubmit.

Distribution

Matching firm facts211

form_adv_firm_facts rows matching filters

SPECTRUM INVESTMENT ADVISORS, INC.
Registered investment adviser (RIA)
CRD
108669
Principal office
MEQUON, WI, 53092
RAUM (Item 5F(2)(c))
$1.1 billion ($1,064,561,205.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees; Other
Latest ADV filing in extract
2026-03-23
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 108669; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
STERLING CAPITAL MANAGEMENT INC
Registered investment adviser (RIA)
CRD
106822
Principal office
BROOKFIELD, WI, 53005
RAUM (Item 5F(2)(c))
$296.9 million ($296,946,819.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees; Performance-based fees
Latest ADV filing in extract
2026-03-24
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 106822; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
STONEHAVEN WEALTH & TAX SOLUTIONS
Registered investment adviser (RIA)
CRD
332731
Principal office
APPLETON, WI, 54914
RAUM (Item 5F(2)(c))
$168.2 million ($168,219,428.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-04-27
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 332731; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SUGAR MAPLE ASSET MANAGEMENT, LLC
Registered investment adviser (RIA)
CRD
282632
Principal office
SISTER BAY, WI, 54234
RAUM (Item 5F(2)(c))
$291.5 million ($291,512,235.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees; Performance-based fees
Latest ADV filing in extract
2026-03-11
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 282632; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SULLIVAN INVESTMENT MANAGEMENT LLC
Registered investment adviser (RIA)
CRD
289217
Principal office
WISCONSIN RAPIDS, WI, 54495
RAUM (Item 5F(2)(c))
$111.8 million ($111,800,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-03-24
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 289217; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SUMNICHT & ASSOCIATES, LLC
Registered investment adviser (RIA)
CRD
111421
Principal office
APPLETON, WI, 54913
RAUM (Item 5F(2)(c))
$107.9 million ($107,891,921.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees; Other
Latest ADV filing in extract
2026-03-27
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 111421; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC
Registered investment adviser (RIA)
CRD
125081
Principal office
MADISON, WI, 53717
RAUM (Item 5F(2)(c))
$159.6 million ($159,553,914.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2025-12-15
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 125081; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
T. ANTON INVESTMENT HOUSE, INC.
Registered investment adviser (RIA)
CRD
174970
Principal office
MADISON, WI, 53717-2174
RAUM (Item 5F(2)(c))
$366.6 million ($366,642,843.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-03-26
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 174970; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
THE KIECKHEFER GROUP
Registered investment adviser (RIA)
CRD
331128
Principal office
MEQUON, WI, 53092-5047
RAUM (Item 5F(2)(c))
$240.8 million ($240,822,533.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-01-27
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 331128; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
THE MILWAUKEE COMPANY
Registered investment adviser (RIA)
CRD
123452
Principal office
THIENSVILLE, WI, 53092
RAUM (Item 5F(2)(c))
$1.3 billion ($1,345,777,922.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-03-16
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 123452; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
THE MILWEALTH GROUP, LLC
Registered investment adviser (RIA)
CRD
108931
Principal office
MILWAUKEE, WI, 53214-1498
RAUM (Item 5F(2)(c))
$496.9 million ($496,900,624.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-03-25
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 108931; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
THOMPSON INVESTMENT MANAGEMENT, INC.
Registered investment adviser (RIA)
CRD
129609
Principal office
MADISON, WI, 53717
RAUM (Item 5F(2)(c))
$3.1 billion ($3,084,417,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-03-27
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 129609; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
TIDAL INVESTMENTS LLC
Registered investment adviser (RIA)
CRD
164201
Principal office
MILWAUKEE, WI, 53204
RAUM (Item 5F(2)(c))
$45.8 billion ($45,829,212,449.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-03-27
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 164201; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
TITLETOWN WEALTH MANAGEMENT, LLC
Registered investment adviser (RIA)
CRD
307752
Principal office
GREEN BAY, WI, 54302
RAUM (Item 5F(2)(c))
$150.3 million ($150,280,357.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-02-09
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 307752; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
TITLETOWNTECH VENTURES LLC
Exempt reporting adviser (ERA)
CRD
305882
Principal office
GREEN BAY, WI, 54304
RAUM (Item 5F(2)(c))
ERA filers do not file Item 5F(2)(c) RAUM
Compensation methods (Item 5.E)
Not a Y/N method list on this card
Latest ADV filing in extract
2026-05-07
Source status text
ERA - Active
Why this matched. This firm matches because it is classified as an ERA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 305882; Exempt reporting adviser (ERA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
TRANSCEND ADVISOR GROUP, LLC
Registered investment adviser (RIA)
CRD
311746
Principal office
MILWAUKEE, WI, 53202
RAUM (Item 5F(2)(c))
$253.2 million ($253,195,518.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-07-10
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 311746; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
TRUSTAGE INVESTMENT MANAGEMENT
Registered investment adviser (RIA)
CRD
105960
Principal office
MADISON, WI, 53705
RAUM (Item 5F(2)(c))
$39.5 billion ($39,459,580,809.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees; Other
Latest ADV filing in extract
2026-03-27
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 105960; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
UNCOMMON CENTS INVESTING
Registered investment adviser (RIA)
CRD
290105
Principal office
JANESVILLE, WI, 53546
RAUM (Item 5F(2)(c))
$519.6 million ($519,598,466.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges
Latest ADV filing in extract
2026-05-29
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 290105; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
UNIPLAN INVESTMENT COUNSEL, INC.
Registered investment adviser (RIA)
CRD
154718
Principal office
MILWAUKEE, WI, 53202
RAUM (Item 5F(2)(c))
$330.5 million ($330,460,396.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-05-15
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 154718; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
VALLEY WEALTH MANAGEMENT
Registered investment adviser (RIA)
CRD
327845
Principal office
OSHKOSH, WI, 54904
RAUM (Item 5F(2)(c))
$111.5 million ($111,533,034.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-04-30
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Wisconsin.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 327845; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD

Trace this query

office state: Requested: WI; APPLIED; effective: WI. Recorded principal office, not client geography, registration jurisdiction or service territory. Field/capability: branches.region (is_main_office)
Contract: investor-ask-v1
Source dataset: Not established for all returned rows
Official as-of / retrieved: Not established for all returned rows / 2026-08-18
Source clock meaning: Source releases attached to returned firm facts; unknown publication dates remain unknown. Release labels are not converted to official effective dates.
Geography meaning: Recorded principal office, not client geography, registration jurisdiction or service territory
RAUM units: USD as reported on Form ADV Item 5F(2)(c)
Compensation taxonomy: Form ADV Item 5.E(1)–5.E(7) Y/N methods
Identifier method: Not an identifier query
Elapsed: 110 ms

Ask does not invent firm facts. Results come from the current SEC/IARD extract.
RIA is not ERA. Counts stay in their class.
Principal office is not client geography.
RAUM is Item 5F(2)(c), not performance.
Item 5.E methods are not fee amounts.
Missing disclosure is not a clean history.
Public firm reports are a publication gate (Wave-1), not a ranking.

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Distribution

SPECTRUM INVESTMENT ADVISORS, INC.

STERLING CAPITAL MANAGEMENT INC

STONEHAVEN WEALTH & TAX SOLUTIONS

SUGAR MAPLE ASSET MANAGEMENT, LLC

SULLIVAN INVESTMENT MANAGEMENT LLC

SUMNICHT & ASSOCIATES, LLC

SYCAMORE INVESTMENT CONSULTING SERVICES, LLC

T. ANTON INVESTMENT HOUSE, INC.

THE KIECKHEFER GROUP

THE MILWAUKEE COMPANY

THE MILWEALTH GROUP, LLC

THOMPSON INVESTMENT MANAGEMENT, INC.

TIDAL INVESTMENTS LLC

TITLETOWN WEALTH MANAGEMENT, LLC

TITLETOWNTECH VENTURES LLC

TRANSCEND ADVISOR GROUP, LLC

TRUSTAGE INVESTMENT MANAGEMENT

UNCOMMON CENTS INVESTING

UNIPLAN INVESTMENT COUNSEL, INC.

VALLEY WEALTH MANAGEMENT