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

CLEARY GULL INC.

CRD 45309

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:09858cbe-d8a6-3c42-bf93-2ae6b9b99967

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 30, 2016
9 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: $1.0BItem 5.F on the latest filing (2016-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.0B
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
Employees: 49
Advisory employees: 13
Accounts: 620
Custody, client assets: $1.0B
SEC number: 801-55574
CRD: 45309
Filings on the tape: 9
First filed: Mar 29, 2012
Latest filed: Mar 30, 2016
Organised: Corporation, Delaware

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
CLEARY GULL HOLDINGS INC.	DIRECT OWNER	E	yes	03/2002	Mar 29, 2012	Mar 30, 2016
CLEARY, MICHAEL JOSEPH	Indirect	C	yes	03/2002	Mar 29, 2012	Mar 30, 2016
CLEARY, MICHAEL JOSEPH	CHAIRMAN OF THE BOARD AND CEO	Na	yes	03/2002	Mar 29, 2012	Mar 30, 2016
MILLER, RONALD DAVID	MANAGING DIRECTOR - INVESTMENT BANKING AND DIRECTOR	Na	yes	03/2002	Mar 29, 2012	Mar 30, 2016
PETERSON, JOHN REUBEN	MANAGING DIRECTOR - INVESTMENT BANKING, SECRETARY, TREASURER AND DIRECTOR	Na	yes	03/2002	Mar 29, 2012	Mar 30, 2016
WARNER, ROBERT LESLIE	EXECUTIVE VICE PRESIDENT AND DIRECTOR	Na	yes	03/2002	Mar 29, 2012	Mar 30, 2016
BRAUN, WILLIAM HUGH	CFO, CHIEF COMPLIANCE OFFICER, FINANCIAL AND OPERATIONS PRINCIPAL	Na	no	08/2002	Mar 29, 2012	Mar 30, 2016

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
CLEARY GULL ADVISORS INC.	n/a	Mixed wealth	$10B	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
2015	Mar 30, 2016	$1.0B	$1.0B	49	13	n/a	n/a	n/a
2014	Mar 30, 2015	$1.0B	$1.0B	48	12	n/a	n/a	n/a
2013	Mar 31, 2014	$992M	$992M	44	11	n/a	n/a	n/a
2012	Mar 26, 2013	$886M	$886M	51	11	n/a	n/a	n/a
2011	Mar 29, 2012	$841M	$841M	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
2015	$1.0B	$1.0B	-1.5%	$886M	4.1%	49	48	n/a	n/a

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
JOHNSON WEALTH INC.	9	Jun 2, 2016	May 25, 2016	MILWAUKEE, WI	Firm absorbed	Other	100.0%

Relationships

Affiliated with (1)

→ JOHNSON WEALTH INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (5)

← WARNER, ROBERT LESLIEOwnerEXECUTIVE VICE PRESIDENT AND DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← CLEARY, MICHAEL JOSEPHOwnerINDIRECT, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← MILLER, RONALD DAVIDOwnerMANAGING DIRECTOR - INVESTMENT BANKING AND DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← PETERSON, JOHN REUBENOwnerMANAGING DIRECTOR - INVESTMENT BANKING, SECRETARY, TREASURER AND DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← CLEARY GULL HOLDINGS INC.OwnerDIRECT OWNER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV

Owns (1)

← BRAUN, WILLIAM HUGHOwnerCFO, CHIEF COMPLIANCE OFFICER, FINANCIAL AND OPERATIONS PRINCIPAL, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (16)

← PETER FRANCIS SCHUMACHERAdvisorregistration: previous registration
Mar 20, 2012 to Jun 2, 2016factForm ADV
← Robert BrooksAdvisorregistration: previous registration
Oct 1, 2007 to Jun 2, 2016factForm ADV
← DAVID DANIEL LACROIXAdvisorregistration: previous registration
Jun 7, 2002 to Jun 2, 2016factForm ADV
← Robert SchneiderAdvisorregistration: previous registration
Apr 6, 2016 to Jun 2, 2016factForm ADV
← STEVEN JAY BACKUSAdvisorregistration: previous registration
Sep 8, 2009 to Jun 2, 2016factForm ADV
← ROBERT JOHN HOLTONAdvisorregistration: previous registration
Jun 6, 2014 to Jun 2, 2016factForm ADV
← CHARLES ALLARD ALLISONAdvisorregistration: previous registration
Jun 23, 2015 to Jun 2, 2016factForm ADV
← JACLYN ARIELLA GRUBERAdvisorregistration: previous registration
Jul 22, 2014 to Jun 2, 2016factForm ADV
← PATRICK ROBERT MCGILLAdvisorregistration: previous registration
Jul 18, 2015 to Jun 2, 2016factForm ADV
← CHARLES J BATCHELORAdvisorregistration: previous registration
Sep 25, 2015 to Apr 28, 2016factForm ADV
← Brian AndrewAdvisorregistration: previous registration
Mar 29, 2011 to Sep 10, 2015factForm ADV
← SCOTT ALAN SCHWARTZAdvisorregistration: previous registration
Jan 26, 2010 to Sep 6, 2012factForm ADV
← SCOTT MATTHEW GRENIERAdvisorregistration: previous registration
Jan 11, 2006 to Dec 1, 2010factForm ADV
← NICHOLAS CHARLES BAUERAdvisorregistration: previous registration
Dec 17, 2008 to May 14, 2010factForm ADV
← KARL BRUCE SCHMIDTKEAdvisorregistration: previous registration
Jan 1, 2002 to Sep 26, 2007factForm ADV
← Richard W JacksonAdvisorregistration: previous registration
Jan 3, 2005 to Jul 18, 2007factForm ADV

Moved with (1)

→ JOHNSON WEALTH INC.Registered adviser9 advisors, firm absorbed, same day
Jun 2, 2016 to May 25, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:09858cbe-d8a6-3c42-bf93-2ae6b9b99967
First observed: Mar 29, 2012
Last observed: Mar 30, 2016 127 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.

CLEARY GULL INC.

CRD 45309

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:09858cbe-d8a6-3c42-bf93-2ae6b9b99967

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:54 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CLEARY GULL HOLDINGS INC.

DIRECT OWNER

yes

03/2002

Mar 29, 2012

Mar 30, 2016

CLEARY, MICHAEL JOSEPH

Indirect

yes

03/2002

Mar 29, 2012

Mar 30, 2016

CLEARY, MICHAEL JOSEPH

CHAIRMAN OF THE BOARD AND CEO

yes

03/2002

Mar 29, 2012

Mar 30, 2016

MILLER, RONALD DAVID

MANAGING DIRECTOR - INVESTMENT BANKING AND DIRECTOR

yes

03/2002

Mar 29, 2012

Mar 30, 2016

PETERSON, JOHN REUBEN

MANAGING DIRECTOR - INVESTMENT BANKING, SECRETARY, TREASURER AND DIRECTOR

yes

03/2002

Mar 29, 2012

Mar 30, 2016

WARNER, ROBERT LESLIE

EXECUTIVE VICE PRESIDENT AND DIRECTOR

yes

03/2002

Mar 29, 2012

Mar 30, 2016

BRAUN, WILLIAM HUGH

CFO, CHIEF COMPLIANCE OFFICER, FINANCIAL AND OPERATIONS PRINCIPAL

08/2002

Mar 29, 2012

Mar 30, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CLEARY GULL ADVISORS INC.

n/a

Mixed wealth

$10B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

$1.0B

n/a

2014

Mar 30, 2015

$1.0B

n/a

2013

Mar 31, 2014

$992M

n/a

2012

Mar 26, 2013

$886M

n/a

2011

Mar 29, 2012

$841M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$1.0B

-1.5%

$886M

4.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

JOHNSON WEALTH INC.

Jun 2, 2016

May 25, 2016

MILWAUKEE, WI

Firm absorbed

Other

100.0%