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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 10b 100b

JOHNSON WEALTH INC.

CRD 125557

MILWAUKEE, 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:070e83fe-2542-30ee-a2e0-63887c9fb7f4

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 126
Dated events: 30
On other graphs: 0
Observed: Mar 29, 2012 to Mar 27, 2026
37 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: mixed wealth managerderivedprivate_client_share=0.38 fund_share=0.42 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $10BItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $8.5B
Private client RAUM: $3.9BderivedItem 5.D individuals plus high net worth individuals
Private client share: 38%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 72
RAUM per advisor: $144Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 142
Advisory employees: 71
Offices: 7Schedule D 1.F, beyond the principal office
Accounts: 6,701
Individual clients: 180
High net worth clients: 2,058
Custody, client assets: $4.5B
SEC number: 801-61862
CIK: 1682139
CRD: 125557
Filings on the tape: 37
First filed: Mar 29, 2012
Latest filed: Mar 27, 2026
Organised: Corporation, WI
Website: johnsonfinancialgroup.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 73

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JASON DOUGLAS HERRIED	Chartered Financial Analyst	MILWAUKEE, WI	10	28	n/a	no
JONATHAN HENSHUE	Chartered Financial Analyst	MILWAUKEE, WI	9	11	n/a	no
NICOLE ANN GENIESSE	Chartered Financial Consultant	Green Bay, WI	9	28	3	no
KYLE JAMES TRIPP	Certified Financial Planner\|Chartered Financial Analyst	APPLETON, WI	9	30	2	no
ELIZABETH MARGARET WEDWARD	n/a	MILWAUKEE, WI	9	30	n/a	no
JEFFREY J BUDZISZ	n/a	MADISON, WI	9	32	n/a	no
Julie S. Grosso	n/a	Madison, WI	9	14	n/a	no
CANDICE M BAKER	n/a	Kenosha, WI	9	16	n/a	no
MICHAEL PAUL COX	n/a	MILWAUKEE, WI	9	32	1	no
DAVID ANTHONY MCEVOY	n/a	Madison, WI	9	25	n/a	no
RONALD CHARLES ALBERTS	Chartered Financial Analyst	MILWAUKEE, WI	8	21	1	no
BRIAN ANTHONY SCHAEFER	n/a	MILWAUKEE, WI	8	16	1	no
TIMOTHY JOHN FOHT	n/a	Madison, WI	8	25	2	no
Kent Dean Demien	Chartered Financial Consultant\|Chartered Financial Analyst	MILWAUKEE, WI	8	10	n/a	no
JOSEPH ROBERT GUERIN	Chartered Financial Analyst	MILWAUKEE, WI	8	12	n/a	no
Damir Hadzalic	n/a	MILWAUKEE, WI	8	23	n/a	no
ERIC - BERNAL	n/a	Racine, WI	8	26	2	no
Anisa Dunn	n/a	RACINE, WI	7	15	n/a	no
ANITA HELEN RESCH	Certified Financial Planner	GREEN BAY, WI	7	18	n/a	no
ERIC JOHN TROUSIL	Chartered Financial Analyst	GREEN BAY, WI	7	19	2	no
Kelsey M. Ellsworth	Chartered Financial Analyst	MILWAUKEE, WI	7	10	n/a	no
ROBERT TYLER MOSLEY	n/a	Janesville, WI	6	18	n/a	no
STEVEN ROBERT HERBST	n/a	Brookfield, WI \| MILWAUKEE, WI	5	31	2	yes
Dominic Paul Ceci	Chartered Financial Analyst	MILWAUKEE, WI	4	14	n/a	no
Alexander John Stemberger	Certified Financial Planner	MILWAUKEE, WI	4	15	n/a	no

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
JOHNSON FINANCIAL GROUP, INC.	DIRECT OWNER	E	yes	06/2016	Mar 27, 2026	Mar 27, 2026
PIERCE, JEFFREY, LAWRENCE	DIRECTOR, PRESIDENT, EXECUTIVE VICE PRESIDENT - WEALTH	Na	yes	08/2025	Mar 27, 2026	Mar 27, 2026
BEHRENS, MARK, C	DIRECTOR, CHIEF FINANCIAL OFFICER AND SECRETARY	Na	yes	06/2016	Jun 30, 2016	Jul 29, 2024
JOHNSON FINANCIAL GROUP VOTING TRUST	SHAREHOLDER OF A AND B SHARES	D	yes	06/1991	Jun 30, 2016	Jul 29, 2024
Johnson-Leipold, Helen	Trustee	F	yes	02/2010	Jun 30, 2016	Jul 29, 2024
Schoenborn, Eva, Marie	EVP PRESIDENT	Na	yes	06/2024	Jul 29, 2024	Jul 29, 2024
BELLMER, ADAM, STEVEN	CHIEF COMPLIANCE OFFICER	Na	no	07/2018	Mar 27, 2026	Mar 27, 2026
BLONSKI, JEFF	DIRECTOR, CHIEF FINANCIAL OFFICER	Na	no	11/2025	Mar 27, 2026	Mar 27, 2026
BRUNNER, DANIEL, J.	SENIOR VICE PRESIDENT - FINANCE	Na	no	04/2018	Mar 27, 2026	Mar 27, 2026
Ceci, Dominic, Paul	CHIEF INVESTMENT OFFICER	Na	no	01/2024	Mar 27, 2026	Mar 27, 2026
LEHMANN, RONALD, EDWARD	CHIEF ADMINISTRATIVE OFFICER	Na	no	04/2024	Mar 27, 2026	Mar 27, 2026
PAVLIK, BENJAMIN, THOMAS	DIRECTOR, LEGAL COUNSEL AND SECRETARY	Na	no	06/2016	Mar 27, 2026	Mar 27, 2026
Shurn, Bryant	SENIOR VICE PRESIDENT - DIRECTOR OF WEALTH SALES	Na	no	03/2026	Mar 27, 2026	Mar 27, 2026

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
JOHNSON FINANCIAL GROUP, INC.	n/a	n/a	n/a	Y	yes	Wi

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Madison	Wi	United States	8	yes
Appleton	Wi	United States	5	no
GREEN BAY	Wi	United States	5	yes
Madison	Wi	United States	4	yes
Racine	Wi	United States	4	yes
Appleton	Wi	United States	2	yes
Janesville	Wi	United States	2	yes
Mequon	Wi	United States	2	yes
Brookfield	Wi	United States	1	yes
Kenosha	Wi	United States	1	yes
Kenosha	Wi	United States	1	yes

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
2025	Mar 27, 2026	$10B	$8.5B	142	71	7	n/a	n/a
2024	Mar 27, 2025	$9.1B	$7.4B	132	61	9	n/a	n/a
2023	Mar 28, 2024	$8.4B	$6.8B	137	63	11	n/a	n/a
2022	Mar 30, 2023	$7.7B	$6.2B	109	51	10	n/a	n/a
2021	Mar 30, 2022	$8.8B	$6.9B	107	53	10	n/a	n/a
2020	Mar 30, 2021	$8.0B	$6.3B	105	55	10	n/a	n/a
2019	Mar 30, 2020	$7.3B	$5.7B	105	58	11	n/a	n/a
2018	Mar 28, 2019	$2.8B	$2.2B	101	53	12	n/a	n/a
2017	Mar 29, 2018	$2.7B	$2.2B	99	50	8	n/a	n/a
2016	Mar 30, 2017	$2.3B	$2.0B	92	40	n/a	n/a	n/a
2015	Mar 30, 2016	$1.0B	$719M	9	7	n/a	n/a	n/a
2014	Mar 31, 2015	$1.1B	$776M	10	8	n/a	n/a	n/a
2013	Mar 31, 2014	$2.5B	$705M	11	8	n/a	n/a	n/a
2012	Mar 26, 2013	$2.6B	$586M	13	10	n/a	n/a	n/a
2011	Mar 29, 2012	$4.7B	$1.6B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
8	3	5	4.2%	1	1	0	21	11

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
2025	$10B	$9.1B	13.6%	$7.7B	10.1%	142	132	7	9

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OARSMAN CAPITAL, INC	2	Nov 15, 2022	Jan 26, 2023	MILWAUKEE, WI	Team lift out	RIA to RIA	5.7%
LPL FINANCIAL LLC	2	May 27, 2020	Apr 29, 2020	MEQUON, WI	Team lift out	RIA to ibd	5.1%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
THE APPLETON GROUP, LLC	2	Oct 9, 2023	Oct 19, 2023	APPLETON, WI	Team lift out	RIA to RIA	100.0%
ALBERTS INVESTMENT MANAGEMENT INC.	2	Dec 19, 2017	Oct 2, 2017	BROOKFIELD, WI	Team lift out	Other	100.0%
CLEARY GULL INC.	9	Jun 2, 2016	May 25, 2016	MILWAUKEE, WI	Firm absorbed	Other	100.0%

Relationships

showing 80 of 126

Registered with (79)

← Cruz BernalAdvisorregistration: current employment
Aug 21, 2026 to presentfactForm ADV
← STEVEN ROBERT HERBSTAdvisorregistration: current employment
Aug 18, 2026 to presentfactForm ADV
← Robert SchneiderAdvisorregistration: current employment
Jul 17, 2026 to presentfactForm ADV
← Nicholas Angelo BrunschAdvisorregistration: current employment
Jun 27, 2026 to presentfactForm ADV
← MAUREEN COOGAN HOLSENAdvisorregistration: current employment
May 12, 2026 to presentfactForm ADV
← Sharon ChristianAdvisorregistration: current employment
Apr 14, 2026 to presentfactForm ADV
← Samuel Paul AnhaltAdvisorregistration: current employment
Mar 25, 2026 to presentfactForm ADV
← GRANT TANNER MOLLAdvisorregistration: current employment
Mar 24, 2026 to presentfactForm ADV
← Bryant ShurnAdvisorregistration: current employment
Mar 19, 2026 to presentfactForm ADV
← Shane Thomas OlsonAdvisorregistration: current employment
Mar 18, 2026 to presentfactForm ADV
← Jacqueline RuppelAdvisorregistration: current employment
Mar 18, 2026 to presentfactForm ADV
← KATHY ANN CISZEWSKIAdvisorregistration: current employment
Jan 28, 2026 to presentfactForm ADV
← James Lloyd GrasslAdvisorregistration: current employment
Dec 16, 2025 to presentfactForm ADV
← JUSTIN D DAHLAdvisorregistration: current employment
Nov 6, 2025 to presentfactForm ADV
← ALLISON MARIE MOESCHBERGERAdvisorregistration: current employment
Oct 30, 2025 to presentfactForm ADV
← KEVIN MICHAEL TYDRICKAdvisorregistration: current employment
Oct 7, 2025 to presentfactForm ADV
← Kenneth Ray BellingerAdvisorregistration: current employment
Sep 25, 2025 to presentfactForm ADV
← Noah James ReckerAdvisorregistration: current employment
Aug 26, 2025 to presentfactForm ADV
← JEFFREY LAWRENCE PIERCEAdvisorregistration: current employment
Aug 11, 2025 to presentfactForm ADV
← BRETT ANDREW STAALANDAdvisorregistration: current employment
Jul 31, 2025 to presentfactForm ADV
← Joseph MaestasAdvisorregistration: current employment
Jul 31, 2025 to presentfactForm ADV
← Tyler JensenAdvisorregistration: current employment
Jun 12, 2025 to presentfactForm ADV
← Michael Kelly MillerAdvisorregistration: current employment
Jun 12, 2025 to presentfactForm ADV
← Scott RescignoAdvisorregistration: current employment
Jun 6, 2025 to presentfactForm ADV
← GRAHAM ALAN KESSELAdvisorregistration: current employment
Jan 16, 2025 to presentfactForm ADV
← ALEX G PUDLOAdvisorregistration: current employment
Jan 2, 2025 to presentfactForm ADV
← JOEL LYNN BAILEYAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← ARNOLD HELMUT PRESSERAdvisorregistration: current employment
Dec 18, 2024 to presentfactForm ADV
← Breton AlmstedtAdvisorregistration: current employment
Dec 17, 2024 to presentfactForm ADV
← Justin LandremanAdvisorregistration: current employment
Dec 9, 2024 to presentfactForm ADV
and 49 more

Affiliated with (1)

← CLEARY GULL INC.Registered adviserother investment adviser, common control
factForm ADV

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 30, 2026
Advisor changed firm
Gregory James King left Johnson Wealth Inc. for World Investment Advisors, Llc (registered 2026-06-30)
Form ADVobserved 6 days ago
Occurred
Mar 20, 2026
Advisor changed firm
Jessica M Feiner left Johnson Wealth Inc. for Wealth Enhancement Advisory Services, Llc (registered 2026-04-07)
Form ADVobserved 6 days ago
Occurred
Mar 20, 2026
Advisor changed firm
Steven Jay Backus left Johnson Wealth Inc. for Operose Advisors Llc (registered 2026-03-26)
Form ADVobserved 6 days ago
Occurred
Aug 11, 2025
Advisor changed firm
Justin Bertzyk left Johnson Wealth Inc. for Ellenbecker Investment Group (registered 2025-08-14)
Form ADVobserved 6 days ago
Occurred
Mar 11, 2025
Advisor changed firm
Kyle Anthony George left Johnson Wealth Inc. for Lpl Financial Llc (registered 2025-04-30)
Form ADVobserved 6 days ago
Occurred
Mar 11, 2025
Advisor changed firm
Daniel William Wilson left Johnson Wealth Inc. for Annex Wealth Management, Llc (registered 2025-04-03)
Form ADVobserved 6 days ago
Occurred
Feb 12, 2025
Advisor changed firm
Ryan Matthew Lueck left Johnson Wealth Inc. for Robert W. Baird & Co. Incorporated (registered 2025-02-24)
Form ADVobserved 6 days ago
Occurred
Feb 4, 2025
Advisor changed firm
Robert Schneider left Johnson Wealth Inc. for Wealth Enhancement Advisory Services, Llc (registered 2025-01-29)
Form ADVobserved 6 days ago
Occurred
Dec 17, 2024
Advisor changed firm
Merissa R Slowik left Johnson Wealth Inc. for Robert W. Baird & Co. Incorporated (registered 2025-09-25)
Form ADVobserved 6 days ago
Occurred
Jul 29, 2024
Control person joined
Marie Eva Schoenborn (Evp President) appeared on Schedule A of Johnson Wealth Inc.
Form ADVobserved 6 days ago
Occurred
Apr 16, 2024
Advisor changed firm
Brian J Gigl left Johnson Wealth Inc. for Riverwater Partners Llc (registered 2024-05-01)
Form ADVobserved 6 days ago
Occurred
Jan 31, 2024
Control person left
Keith Brian Andrew (Director, President, Executive Vice President - Wealth, Chief Investment Officer) no longer on Schedule A of Johnson Wealth Inc. (listed 2023-11-02, absent 2024-01-31)
Form ADVobserved 6 days ago
Occurred
Jan 22, 2024
Advisor changed firm
Brian Andrew left Johnson Wealth Inc. for Merit Financial Advisors (registered 2024-01-19)
Form ADVobserved 6 days ago
Occurred
Oct 9, 2023
Team lift-out
2 advisors left The Appleton Group, LLC (Appleton, WI) for Johnson Wealth Inc. on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Nov 15, 2022
Team lift-out
2 advisors left Johnson Wealth Inc. (Milwaukee, WI) for Oarsman Capital, Inc on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Nov 15, 2022
Advisor changed firm
Jaclyn Ariella Gruber left Johnson Wealth Inc. for Oarsman Capital, Inc (registered 2023-01-26)
Form ADVobserved 6 days ago
Occurred
Nov 15, 2022
Advisor changed firm
Charles Allard Allison left Johnson Wealth Inc. for Oarsman Capital, Inc (registered 2023-01-26)
Form ADVobserved 6 days ago
Occurred
Nov 15, 2022
Advisor changed firm
David James Fisher left Johnson Wealth Inc. for Annex Wealth Management, Llc (registered 2022-11-07)
Form ADVobserved 6 days ago
Occurred
Jul 27, 2022
Advisor changed firm
Peter Francis Schumacher left Johnson Wealth Inc. for Oarsman Capital, Inc (registered 2022-11-10)
Form ADVobserved 6 days ago
Occurred
May 16, 2022
Advisor changed firm
Robert Brooks left Johnson Wealth Inc. for 1834 Investment Advisors Co. (registered 2022-06-10)
Form ADVobserved 6 days ago
Occurred
Apr 5, 2022
Advisor changed firm
Andrew Lawrence Fritts left Johnson Wealth Inc. for Lpl Financial Llc (registered 2026-01-13)
Form ADVobserved 6 days ago
Occurred
Apr 5, 2022
Advisor changed firm
Jeffrey Keegan Schnoor left Johnson Wealth Inc. for Charles Schwab & Co., Inc. (registered 2022-06-24)
Form ADVobserved 6 days ago
Occurred
Apr 5, 2022
Advisor changed firm
Tyler Matthew Senfleben left Johnson Wealth Inc. for 36 North Capital Management, Llc (registered 2022-08-25)
Form ADVobserved 6 days ago
Occurred
Jan 10, 2022
Advisor changed firm
Daniel Frederickson left Johnson Wealth Inc. for Woodbury Financial Services, Inc. (registered 2022-03-28)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2020
Regulatory AUM changed
Johnson Wealth Inc. reported RAUM $7.3B, up 98% from $3.7B (2019-08-28 to 2020-03-30)
Form ADVobserved 6 days ago
$3.6B
Occurred
Mar 30, 2020
Control person left
Joseph Michael Cleary (Director And Executive Vice President) no longer on Schedule A of Johnson Wealth Inc. (listed 2019-08-28, absent 2020-03-30)
Form ADVobserved 6 days ago
Occurred
Aug 28, 2019
Regulatory AUM changed
Johnson Wealth Inc. reported RAUM $3.7B, up 34% from $2.8B (2019-03-28 to 2019-08-28)
Form ADVobserved 6 days ago
$937M

Show 3 bookkeeping events

Occurred
Sep 18, 2026
Nicholas Mcfadden registered as an investment adviser representative at Johnson Wealth Inc.
First seen by DFX
Sep 16, 2026
date not stated
James Lloyd Grassl no longer holds an investment adviser registration (last listed at Johnson Wealth Inc. on the 2026-09-15 feed)
Occurred
Mar 29, 2018
Johnson Wealth Inc. reported 44 state-registered advisory representatives, up from 27 (2017-09-15 to 2018-03-29)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:070e83fe-2542-30ee-a2e0-63887c9fb7f4
First observed: Mar 29, 2012
Last observed: Mar 27, 2026 5 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.

JOHNSON WEALTH INC.

CRD 125557

MILWAUKEE, 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:070e83fe-2542-30ee-a2e0-63887c9fb7f4

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:48 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JASON DOUGLAS HERRIED

Chartered Financial Analyst

MILWAUKEE, WI

n/a

JONATHAN HENSHUE

Chartered Financial Analyst

MILWAUKEE, WI

n/a

NICOLE ANN GENIESSE

Chartered Financial Consultant

Green Bay, WI

KYLE JAMES TRIPP

Certified Financial Planner|Chartered Financial Analyst

APPLETON, WI

ELIZABETH MARGARET WEDWARD

n/a

MILWAUKEE, WI

n/a

JEFFREY J BUDZISZ

n/a

MADISON, WI

n/a

Julie S. Grosso

n/a

Madison, WI

n/a

CANDICE M BAKER

n/a

Kenosha, WI

n/a

MICHAEL PAUL COX

n/a

MILWAUKEE, WI

DAVID ANTHONY MCEVOY

n/a

Madison, WI

n/a

RONALD CHARLES ALBERTS

Chartered Financial Analyst

MILWAUKEE, WI

BRIAN ANTHONY SCHAEFER

n/a

MILWAUKEE, WI

TIMOTHY JOHN FOHT

n/a

Madison, WI

Kent Dean Demien

Chartered Financial Consultant|Chartered Financial Analyst

MILWAUKEE, WI

n/a

JOSEPH ROBERT GUERIN

Chartered Financial Analyst

MILWAUKEE, WI

n/a

Damir Hadzalic

n/a

MILWAUKEE, WI

n/a

ERIC - BERNAL

n/a

Racine, WI

Anisa Dunn

n/a

RACINE, WI

n/a

ANITA HELEN RESCH

Certified Financial Planner

GREEN BAY, WI

n/a

ERIC JOHN TROUSIL

Chartered Financial Analyst

GREEN BAY, WI

Kelsey M. Ellsworth

Chartered Financial Analyst

MILWAUKEE, WI

n/a

ROBERT TYLER MOSLEY

n/a

Janesville, WI

n/a

STEVEN ROBERT HERBST

n/a

Brookfield, WI | MILWAUKEE, WI

yes

Dominic Paul Ceci

Chartered Financial Analyst

MILWAUKEE, WI

n/a

Alexander John Stemberger

Certified Financial Planner

MILWAUKEE, WI

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

JOHNSON FINANCIAL GROUP, INC.

DIRECT OWNER

yes

06/2016

Mar 27, 2026

PIERCE, JEFFREY, LAWRENCE

DIRECTOR, PRESIDENT, EXECUTIVE VICE PRESIDENT - WEALTH

yes

08/2025

Mar 27, 2026

BEHRENS, MARK, C

DIRECTOR, CHIEF FINANCIAL OFFICER AND SECRETARY

yes

06/2016

Jun 30, 2016

Jul 29, 2024

JOHNSON FINANCIAL GROUP VOTING TRUST

SHAREHOLDER OF A AND B SHARES

yes

06/1991

Jun 30, 2016

Jul 29, 2024

Johnson-Leipold, Helen

Trustee

yes

02/2010

Jun 30, 2016

Jul 29, 2024

Schoenborn, Eva, Marie

EVP PRESIDENT

yes

06/2024

Jul 29, 2024

BELLMER, ADAM, STEVEN

CHIEF COMPLIANCE OFFICER

07/2018

Mar 27, 2026

BLONSKI, JEFF

DIRECTOR, CHIEF FINANCIAL OFFICER

11/2025

Mar 27, 2026

BRUNNER, DANIEL, J.

SENIOR VICE PRESIDENT - FINANCE

04/2018

Mar 27, 2026

Ceci, Dominic, Paul

CHIEF INVESTMENT OFFICER

01/2024

Mar 27, 2026

LEHMANN, RONALD, EDWARD

CHIEF ADMINISTRATIVE OFFICER

04/2024

Mar 27, 2026

PAVLIK, BENJAMIN, THOMAS

DIRECTOR, LEGAL COUNSEL AND SECRETARY

06/2016

Mar 27, 2026

Shurn, Bryant

SENIOR VICE PRESIDENT - DIRECTOR OF WEALTH SALES

03/2026

Mar 27, 2026

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JOHNSON FINANCIAL GROUP, INC.

n/a

yes

City

State

Country

Employees

Also broker-dealer

Madison

United States

yes

Appleton

United States

GREEN BAY

United States

yes

Madison

United States

yes

Racine

United States

yes

Appleton

United States

yes

Janesville

United States

yes

Mequon

United States

yes

Brookfield

United States

yes

Kenosha

United States

yes

Kenosha

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$10B

$8.5B

142

n/a

2024

Mar 27, 2025

$9.1B

$7.4B

132

n/a

2023

Mar 28, 2024

$8.4B

$6.8B

137

n/a

2022

Mar 30, 2023

$7.7B

$6.2B

109

n/a

2021

Mar 30, 2022

$8.8B

$6.9B

107

n/a

2020

Mar 30, 2021

$8.0B

$6.3B

105

n/a

2019

Mar 30, 2020

$7.3B

$5.7B

105

n/a

2018

Mar 28, 2019

$2.8B

$2.2B

101

n/a

2017

Mar 29, 2018

$2.7B

$2.2B

n/a

2016

Mar 30, 2017

$2.3B

$2.0B

n/a

2015

Mar 30, 2016

$1.0B

$719M

n/a

2014

Mar 31, 2015

$1.1B

$776M

n/a

2013

Mar 31, 2014

$2.5B

$705M

n/a

2012

Mar 26, 2013

$2.6B

$586M

n/a

2011

Mar 29, 2012

$4.7B

$1.6B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

4.2%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$10B

$9.1B

13.6%

$7.7B

10.1%

142

132

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OARSMAN CAPITAL, INC

Nov 15, 2022

Jan 26, 2023

MILWAUKEE, WI

Team lift out

RIA to RIA

5.7%

LPL FINANCIAL LLC

May 27, 2020

Apr 29, 2020

MEQUON, WI

Team lift out

RIA to ibd

5.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

THE APPLETON GROUP, LLC

Oct 9, 2023

Oct 19, 2023

APPLETON, WI

Team lift out

RIA to RIA

100.0%

ALBERTS INVESTMENT MANAGEMENT INC.

Dec 19, 2017

Oct 2, 2017

BROOKFIELD, WI

Team lift out

Other

100.0%

CLEARY GULL INC.

Jun 2, 2016

May 25, 2016

MILWAUKEE, WI

Firm absorbed

Other

100.0%