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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

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Distribution

  • Matching firm facts211

form_adv_firm_facts rows matching filters

  1. NORTH STAR ASSET MANAGEMENT INC

    Registered investment adviser (RIA)
    CRD
    106489
    Principal office
    NEENAH, WI, 54956
    RAUM (Item 5F(2)(c))
    $3.4 billion ($3,351,878,334.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management
    Latest ADV filing in extract
    2026-05-07
    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 106489; 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

  2. NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC

    Registered investment adviser (RIA)
    CRD
    307865
    Principal office
    MILWAUKEE, WI, 53202-4797
    RAUM (Item 5F(2)(c))
    $323.1 billion ($323,078,339,738.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Performance-based fees
    Latest ADV filing in extract
    2026-05-06
    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 307865; 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

  3. NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

    Registered investment adviser (RIA)
    CRD
    2881
    Principal office
    MILWAUKEE, WI, 53202-4797
    RAUM (Item 5F(2)(c))
    $0.00 ($0.00)
    Compensation methods (Item 5.E)
    Fixed fees; Other
    Latest ADV filing in extract
    2026-03-31
    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 2881; 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

  4. NVNG INVESTMENT ADVISORS, LLC

    Exempt reporting adviser (ERA)
    CRD
    307219
    Principal office
    MADISON, WI, 53703
    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 307219; 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

  5. OARSMAN CAPITAL, INC

    Registered investment adviser (RIA)
    CRD
    109993
    Principal office
    MILWAUKEE, WI, 53202
    RAUM (Item 5F(2)(c))
    $1.2 billion ($1,166,995,377.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management
    Latest ADV filing in extract
    2026-05-22
    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 109993; 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

  6. OMNI FINANCIAL LLC

    Registered investment adviser (RIA)
    CRD
    314670
    Principal office
    MADISON, WI, 53711
    RAUM (Item 5F(2)(c))
    $116.9 million ($116,910,095.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees; Other
    Latest ADV filing in extract
    2026-01-09
    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 314670; 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

  7. OPEROSE ADVISORS LLC

    Registered investment adviser (RIA)
    CRD
    287465
    Principal office
    MILWAUKEE, WI, 53202
    RAUM (Item 5F(2)(c))
    $2.0 billion ($2,038,167,082.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Fixed fees
    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.

    Trace this result
    Identity
    Firm CRD 287465; 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
    Public research profile published

    RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.

    Research this adviser

  8. ORGEL WEALTH MANAGEMENT, LLC

    Registered investment adviser (RIA)
    CRD
    168219
    Principal office
    ALTOONA, WI, 54720
    RAUM (Item 5F(2)(c))
    $9.5 billion ($9,548,675,912.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; 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 168219; 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

  9. PACKERLAND BROKERAGE SERVICES, INC.

    Registered investment adviser (RIA)
    CRD
    37031
    Principal office
    GREEN BAY, WI, 54313-9709
    RAUM (Item 5F(2)(c))
    $1.4 billion ($1,358,224,265.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-04-15
    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 37031; 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

  10. PALADIN PARTNERS

    Registered investment adviser (RIA)
    CRD
    132024
    Principal office
    HARTLAND, WI, 53029
    RAUM (Item 5F(2)(c))
    $198.5 million ($198,517,308.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-07-01
    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 132024; 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

  11. PARK CAPITAL MANAGEMENT, LLC

    Registered investment adviser (RIA)
    CRD
    158965
    Principal office
    MADISON, WI, 53713
    RAUM (Item 5F(2)(c))
    $868.0 million ($867,986,072.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Fixed fees
    Latest ADV filing in extract
    2026-03-06
    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 158965; 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

  12. PAVLIC INVESTMENT ADVISORS, INC.

    Registered investment adviser (RIA)
    CRD
    111246
    Principal office
    DELAFIELD, WI, 53018
    RAUM (Item 5F(2)(c))
    $108.8 million ($108,843,269.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management
    Latest ADV filing in extract
    2026-05-04
    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 111246; 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

  13. PJS INVESTMENT MANAGEMENT

    Registered investment adviser (RIA)
    CRD
    104701
    Principal office
    CEDARBURG, WI, 53012
    RAUM (Item 5F(2)(c))
    $852.0 million ($852,009,988.00)
    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 104701; 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

  14. PLUS GROUP WEALTH ADVISORS, LLC

    Registered investment adviser (RIA)
    CRD
    300714
    Principal office
    BELGIUM, WI, 53004
    RAUM (Item 5F(2)(c))
    $158.9 million ($158,861,208.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Other
    Latest ADV filing in extract
    2026-02-03
    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 300714; 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

  15. POEHLING CAPITAL MANAGEMENT, INC.

    Registered investment adviser (RIA)
    CRD
    131668
    Principal office
    MADISON, WI, 53717
    RAUM (Item 5F(2)(c))
    $591.3 million ($591,270,000.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; Commissions
    Latest ADV filing in extract
    2026-02-10
    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 131668; 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

  16. PORTFOLIO DESIGN SERVICES, LLC

    Registered investment adviser (RIA)
    CRD
    131506
    Principal office
    RIVER FALLS, WI, 54022
    RAUM (Item 5F(2)(c))
    $149.7 million ($149,734,832.00)
    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 131506; 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

  17. PRESCIENT CAPITAL MANAGEMENT, LLC

    Exempt reporting adviser (ERA)
    CRD
    309243
    Principal office
    DELAFIELD, WI, 53018
    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
    2026-03-25
    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 309243; 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

  18. PROFESSIONAL FINANCIAL MANAGEMENT, INC.

    Registered investment adviser (RIA)
    CRD
    154016
    Principal office
    APPLETON, WI, 54914
    RAUM (Item 5F(2)(c))
    $115.5 million ($115,520,555.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management; Hourly charges; 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 154016; 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

  19. PROVIDENT TRUST COMPANY

    Registered investment adviser (RIA)
    CRD
    110118
    Principal office
    WAUKESHA, WI, 53188-1199
    RAUM (Item 5F(2)(c))
    $6.9 billion ($6,858,453,576.00)
    Compensation methods (Item 5.E)
    Percentage of assets under management
    Latest ADV filing in extract
    2026-04-08
    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 110118; 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

  20. RACON CAPITAL

    Exempt reporting adviser (ERA)
    CRD
    166508
    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 166508; 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
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.

sec_ia_ria; release label 2026-08-03; official publication not established; retrieved 2026-08-18; fingerprint not recorded.

sec_ia_era; release label 2026-08-03; official publication not established; retrieved 2026-08-18; fingerprint not recorded.

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
100 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.