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

CAPITAL MIDWEST ADVISORS III
Exempt reporting adviser (ERA)
CRD
282974
Principal office
MEQUON, WI, 53092
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
2026-02-12
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.
Trace this result
Identity
Firm CRD 282974; 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
Public research profile published
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Research this adviser
CAPITAL WEALTH ADVISORS, LTD.
Registered investment adviser (RIA)
CRD
155263
Principal office
WEST BEND, WI, 53095
RAUM (Item 5F(2)(c))
$126.1 million ($126,107,540.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
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 155263; 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
CENTRAL WEALTH MANAGEMENT LLC
Registered investment adviser (RIA)
CRD
293172
Principal office
MADISON, WI, 53717
RAUM (Item 5F(2)(c))
$136.8 million ($136,834,321.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-04-01
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 293172; 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
CHARACTER CAPITAL LLC
Exempt reporting adviser (ERA)
CRD
313823
Principal office
MILWAUKEE, WI, 53202
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
2026-03-30
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 313823; 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
CHARTER CAPITAL MANAGEMENT, INC
Registered investment adviser (RIA)
CRD
35919
Principal office
BROOKFIELD, WI, 53005
RAUM (Item 5F(2)(c))
$462.2 million ($462,184,711.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-03-19
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 35919; 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
CLF ASSET MANAGEMENT, INC.
Registered investment adviser (RIA)
CRD
284060
Principal office
MADISON, WI, 53717
RAUM (Item 5F(2)(c))
$146.9 million ($146,884,969.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-03-02
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 284060; 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
CLIENT FIRST INVESTMENT MANAGEMENT LLC
Registered investment adviser (RIA)
CRD
282600
Principal office
WEST BEND, WI, 53095
RAUM (Item 5F(2)(c))
$271.9 million ($271,935,662.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-02-11
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 282600; 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
CMG WEALTH ADVISORS LLC
RIA — pending / 120-day
CRD
340600
Principal office
MADISON, WI, 53717
RAUM (Item 5F(2)(c))
$0.00 ($0.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-03-17
Source status text
120-Day Approval
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 340600; RIA — pending / 120-day
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
COAST ADVISORY LLC
Registered investment adviser (RIA)
CRD
340229
Principal office
EAST TROY, WI, 53120
RAUM (Item 5F(2)(c))
$122.5 million ($122,463,362.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges
Latest ADV filing in extract
2026-06-02
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 340229; 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
COLLAR CAPITAL MANAGEMENT, LLC
Registered investment adviser (RIA)
CRD
152325
Principal office
APPLETON, WI, 54911
RAUM (Item 5F(2)(c))
$176.3 million ($176,262,609.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-07-13
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 152325; 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
CONCEPTUAL FINANCIAL ADVISORS, LLC
Registered investment adviser (RIA)
CRD
167513
Principal office
APPLETON, WI, 54915
RAUM (Item 5F(2)(c))
$189.9 million ($189,909,772.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-01-15
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 167513; 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
COORDINATED CAPITAL SECURITIES, INC.
Registered investment adviser (RIA)
CRD
14762
Principal office
FORT ATKINSON, WI, 53538
RAUM (Item 5F(2)(c))
$136.8 million ($136,837,741.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-06-25
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 14762; 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
COPPER HARBOR INVESTMENT ADVISORS, LLC
Registered investment adviser (RIA)
CRD
169978
Principal office
APPLETON, WI, 54913
RAUM (Item 5F(2)(c))
$805.0 million ($805,000,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges
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 169978; 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
CORNERSTONE FINANCIAL GROUP
Registered investment adviser (RIA)
CRD
324255
Principal office
APPLETON, WI, 54911
RAUM (Item 5F(2)(c))
$220.2 million ($220,180,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-02-17
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 324255; 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
CUSHING CAPITAL PARTNERS, LLC
Registered investment adviser (RIA)
CRD
313497
Principal office
DELAFIELD, WI, 53018
RAUM (Item 5F(2)(c))
$274.7 million ($274,702,787.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-03-05
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 313497; 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
CVC MANAGER, LLC
Exempt reporting adviser (ERA)
CRD
305012
Principal office
MILWAUKEE, WI, 53202
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
2026-03-31
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 305012; 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
CWP PRIVATE WEALTH MANAGEMENT
Registered investment adviser (RIA)
CRD
281520
Principal office
WEST BEND, WI, 53095
RAUM (Item 5F(2)(c))
$276.1 million ($276,097,524.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
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 281520; 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
DANA INVESTMENT ADVISORS INC
Registered investment adviser (RIA)
CRD
105879
Principal office
WAUKESHA, WI, 53186-0904
RAUM (Item 5F(2)(c))
$6.1 billion ($6,076,522,387.00)
Compensation methods (Item 5.E)
Percentage of assets under management; 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 105879; 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
DENALI WEALTH MANAGEMENT, INC.
Registered investment adviser (RIA)
CRD
153323
Principal office
MEQUON, WI, 53092-5047
RAUM (Item 5F(2)(c))
$226.1 million ($226,122,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-03-18
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 153323; 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
DIVERSIFIED MANAGEMENT INC
Registered investment adviser (RIA)
CRD
106680
Principal office
MILWAUKEE, WI, 53202
RAUM (Item 5F(2)(c))
$1.9 billion ($1,866,259,879.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-03-30
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 106680; 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: 157 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

CAPITAL MIDWEST ADVISORS III

CAPITAL WEALTH ADVISORS, LTD.

CENTRAL WEALTH MANAGEMENT LLC

CHARACTER CAPITAL LLC

CHARTER CAPITAL MANAGEMENT, INC

CLF ASSET MANAGEMENT, INC.

CLIENT FIRST INVESTMENT MANAGEMENT LLC

CMG WEALTH ADVISORS LLC

COAST ADVISORY LLC

COLLAR CAPITAL MANAGEMENT, LLC

CONCEPTUAL FINANCIAL ADVISORS, LLC

COORDINATED CAPITAL SECURITIES, INC.

COPPER HARBOR INVESTMENT ADVISORS, LLC

CORNERSTONE FINANCIAL GROUP

CUSHING CAPITAL PARTNERS, LLC

CVC MANAGER, LLC

CWP PRIVATE WEALTH MANAGEMENT

DANA INVESTMENT ADVISORS INC

DENALI WEALTH MANAGEMENT, INC.

DIVERSIFIED MANAGEMENT INC