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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

ASSOCIATED INVESTMENT MANAGEMENT LLC

CRD 111086

GREEN BAY, WI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:03cd58c5-48a8-3bf3-308b-4c9bde5fe85c

Data as of Oct 15, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Oct 15, 2012
3 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $4.5BItem 5.F on the latest filing (2012-10-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.5B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1
Custody, client assets: $4.5B
SEC number: 801-55971
CRD: 111086
Filings on the tape: 3
First filed: Mar 27, 2012
Latest filed: Oct 15, 2012
Organised: Limited Liability Company, Wisconsin

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ASSOCIATED BANC-CORP	SOLE MEMBER	E	yes	10/1998	Mar 27, 2012	Oct 15, 2012
FRY, PATRICK, ANDREW	Manager	Na	yes	03/2012	Mar 27, 2012	Oct 15, 2012
HEASELDEN, CURZON, MARK	CHIEF COMPLIANCE OFFICER	Na	yes	07/2004	Mar 27, 2012	Oct 15, 2012
HILGENDORF, MARK, PAUL	Manager	Na	yes	09/2000	Mar 27, 2012	Oct 15, 2012
HOCHHOLZER, MICHAEL, ROBERT	Manager	Na	yes	02/2008	Mar 27, 2012	Oct 15, 2012
SILVER, MICHAEL, ERIC	Manager	Na	yes	02/2008	Mar 27, 2012	Oct 15, 2012
THAYER, JOHN, PARKER	MANAGING AGENT	Na	yes	05/2001	Mar 27, 2012	Oct 15, 2012
WALKER, SARA, JANE	Manager	Na	yes	09/2000	Mar 27, 2012	Oct 15, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
KELLOGG ASSET MANAGEMENT, LLC	n/a	Other adviser	$2.9B	N	yes	n/a
ASSOCIATED INVESTMENT SERVICES, INC.	n/a	Independent wealth	$1.2B	N	yes	n/a
ASSOCIATED TRUST COMPANY, N.A.	n/a	n/a	n/a	N	yes	Wi
FINANCIAL RESOURCE MANAGEMENT GROUP, INC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 27, 2012	$4.5B	$4.5B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$4.5B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ ASSOCIATED INVESTMENT SERVICES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ KELLOGG ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (8)

← THAYER, JOHN, PARKEROwnerMANAGING AGENT, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← FRY, PATRICK, ANDREWOwnerMANAGER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← HILGENDORF, MARK, PAULOwnerMANAGER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← SILVER, MICHAEL, ERICOwnerMANAGER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← HOCHHOLZER, MICHAEL, ROBERTOwnerMANAGER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← WALKER, SARA, JANEOwnerMANAGER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← HEASELDEN, CURZON, MARKOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← ASSOCIATED BANC-CORPOwnerSOLE MEMBER, ownership code E, domestic entity
Mar 27, 2012 to presentfactForm ADV

Registered with (1)

← PATRICK ANDREW FRYAdvisorregistration: previous registration
Jun 5, 2001 to Jan 2, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:03cd58c5-48a8-3bf3-308b-4c9bde5fe85c
First observed: Mar 27, 2012
Last observed: Oct 15, 2012 169 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ASSOCIATED INVESTMENT MANAGEMENT LLC

CRD 111086

GREEN BAY, WI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:03cd58c5-48a8-3bf3-308b-4c9bde5fe85c

Data as of Oct 15, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:06 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ASSOCIATED BANC-CORP

SOLE MEMBER

yes

10/1998

Mar 27, 2012

Oct 15, 2012

FRY, PATRICK, ANDREW

Manager

yes

03/2012

Mar 27, 2012

Oct 15, 2012

HEASELDEN, CURZON, MARK

CHIEF COMPLIANCE OFFICER

yes

07/2004

Mar 27, 2012

Oct 15, 2012

HILGENDORF, MARK, PAUL

Manager

yes

09/2000

Mar 27, 2012

Oct 15, 2012

HOCHHOLZER, MICHAEL, ROBERT

Manager

yes

02/2008

Mar 27, 2012

Oct 15, 2012

SILVER, MICHAEL, ERIC

Manager

yes

02/2008

Mar 27, 2012

Oct 15, 2012

THAYER, JOHN, PARKER

MANAGING AGENT

yes

05/2001

Mar 27, 2012

Oct 15, 2012

WALKER, SARA, JANE

Manager

yes

09/2000

Mar 27, 2012

Oct 15, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

KELLOGG ASSET MANAGEMENT, LLC

n/a

Other adviser

$2.9B

yes

n/a

ASSOCIATED INVESTMENT SERVICES, INC.

n/a

Independent wealth

$1.2B

yes

n/a

ASSOCIATED TRUST COMPANY, N.A.

n/a

yes

FINANCIAL RESOURCE MANAGEMENT GROUP, INC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 27, 2012

$4.5B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$4.5B

n/a