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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

KELLOGG ASSET MANAGEMENT, LLC

CRD 150031

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:0a0217bb-36f6-a1cf-def0-509b42dc04d7

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 5
On other graphs: 0
Observed: Mar 27, 2012 to Mar 26, 2026
44 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: other adviserderivedprivate_client_share=0.0 fund_share=0.48 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0
Regulatory AUM: $2.9BItem 5.F on the latest filing (2026-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.9B
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: 8
RAUM per advisor: $357Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 9
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 104
Custody, client assets: $2.2B
SEC number: 801-70113
CRD: 150031
Filings on the tape: 44
First filed: Mar 27, 2012
Latest filed: Mar 26, 2026
Organised: Limited Liability Company, WI

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
PATRICK ANDREW FRY	Chartered Financial Analyst	GREEN BAY, WI	16	37	1	no
JOHN BOYDEN DUFFY	n/a	GREEN BAY, WI	16	29	n/a	yes
JON LEE SATTLER	Chartered Financial Analyst	GREEN BAY, WI	15	15	n/a	no
CHAN C.M. BARDEN	Chartered Financial Analyst	GREEN BAY, WI	12	13	n/a	no
GARY LEE ROLAIN	Chartered Financial Analyst	GREEN BAY, WI	12	19	n/a	no
MICHAEL ROBERT HOCHHOLZER	Chartered Financial Analyst	GREEN BAY, WI \| Neenah, WI	8	29	2	no
ROLF GEORG-SLOAN JOHNSEN	n/a	St. Louis Park, MN	7	10	n/a	no
SAMUEL PAUL JACOBSEN	Chartered Financial Analyst	GREEN BAY, WI \| St. Louis Park, MN	3	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
ASSOCIATED BANC-CORP	SOLE SHAREHOLDER	E	yes	01/1995	Mar 27, 2012	Sep 9, 2024
ASSOCIATED BANK, N.A.	SOLE SHAREHOLDER	E	yes	05/2016	Jun 21, 2016	Sep 9, 2024
ASSOCIATED TRUST COMPANY	SOLE MEMBER	E	yes	05/2016	Jun 2, 2016	Sep 9, 2024
BARDEN, CHAN, C.M.	ELECTED MANAGER	Na	yes	08/2013	Sep 5, 2013	Sep 9, 2024
FRY, PATRICK, ANDREW	ELECTED MANAGER	Na	yes	01/2009	Mar 27, 2012	Sep 9, 2024
HOCHHOLZER, MICHAEL, ROBERT	MANAGING AGENT	Na	yes	07/2021	Mar 27, 2012	Sep 9, 2024
PECORA, ANTHONY, PHILIP	CHIEF COMPLIANCE OFFICER	Na	no	08/2017	Aug 16, 2017	Sep 9, 2024

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
ASSOCIATED INVESTMENT SERVICES, INC.	n/a	Independent wealth	$1.2B	N	yes	n/a
ASSOCIATED BANK, N.A.	n/a	n/a	n/a	Y	yes	n/a
ASSOCIATED TRUST COMPANY, N.A.	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	1	yes
Manitowoc	Wi	United States	1	yes
Neenah	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 26, 2026	$2.9B	$2.9B	9	9	4	n/a	n/a
2024	Mar 19, 2025	$2.7B	$2.6B	10	10	4	n/a	n/a
2023	Mar 20, 2024	$2.5B	$2.5B	11	11	3	n/a	n/a
2022	Mar 17, 2023	$2.2B	$2.2B	11	11	3	n/a	n/a
2021	Mar 28, 2022	$2.5B	$2.5B	11	11	3	n/a	n/a
2020	Mar 26, 2021	$2.3B	$2.3B	12	12	3	n/a	n/a
2019	Mar 25, 2020	$2.1B	$2.1B	13	13	3	n/a	n/a
2018	Mar 22, 2019	$1.9B	$1.9B	14	14	3	n/a	n/a
2017	Mar 7, 2018	$2.0B	$2.0B	15	15	4	n/a	n/a
2016	Mar 30, 2017	$1.6B	$1.6B	12	10	n/a	n/a	n/a
2015	Mar 30, 2016	$1.5B	$1.5B	8	8	n/a	n/a	n/a
2014	Mar 30, 2015	$1.6B	$1.6B	8	8	n/a	n/a	n/a
2013	Mar 28, 2014	$1.4B	$1.4B	8	8	n/a	n/a	n/a
2012	Mar 28, 2013	$1.1B	$1.1B	13	12	n/a	n/a	n/a
2011	Mar 27, 2012	$1.1B	$1.1B	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
0	1	-1	12.5%	0	0	0	0	2

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	$2.9B	$2.7B	7.8%	$2.2B	9.6%	9	10	4	4

Relationships

Affiliated with (4)

← ASSOCIATED INVESTMENT SERVICES, INC.Registered adviserother investment adviser, common control
factForm ADV
→ ASSOCIATED INVESTMENT SERVICES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← WHITNELL & CORegistered adviserother investment adviser, common control
factForm ADV
← ASSOCIATED INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (12)

← SAMUEL PAUL JACOBSENAdvisorregistration: current employment
Dec 2, 2022 to presentfactForm ADV
← ROLF GEORG-SLOAN JOHNSENAdvisorregistration: current employment
Dec 11, 2018 to presentfactForm ADV
← MICHAEL ROBERT HOCHHOLZERAdvisorregistration: previous registration
Jan 28, 2010 to Mar 30, 2015factForm ADV
← CHAN C.M. BARDENAdvisorregistration: current employment
Oct 7, 2013 to presentfactForm ADV
← GARY LEE ROLAINAdvisorregistration: current employment
Oct 7, 2013 to presentfactForm ADV
← JON LEE SATTLERAdvisorregistration: current employment
Jul 5, 2011 to presentfactForm ADV
← JOHN BOYDEN DUFFYAdvisorregistration: current employment
Jan 28, 2010 to presentfactForm ADV
← PATRICK ANDREW FRYAdvisorregistration: current employment
Jan 15, 2010 to presentfactForm ADV
← MARK DANIEL TUMPACHAdvisorregistration: previous registration
Jan 19, 2010 to May 21, 2026factForm ADV
← MARK PAUL HILGENDORFAdvisorregistration: previous registration
Jan 19, 2010 to Aug 8, 2024factForm ADV
← ROBERT JOSEPH MOOREAdvisorregistration: previous registration
May 8, 2015 to Feb 10, 2020factForm ADV
← ADAM E LONGLAISAdvisorregistration: previous registration
Oct 7, 2013 to Mar 22, 2019factForm ADV

Controls (6)

← FRY, PATRICK, ANDREWOwnerELECTED MANAGER, ownership code NA, individual
Mar 27, 2012 to Sep 9, 2024factForm ADV
← HOCHHOLZER, MICHAEL, ROBERTOwnerMANAGING AGENT, ownership code NA, individual
Mar 27, 2012 to Sep 9, 2024factForm ADV
← BARDEN, CHAN, C.M.OwnerELECTED MANAGER, ownership code NA, individual
Sep 5, 2013 to Sep 9, 2024factForm ADV
← ASSOCIATED BANC-CORPOwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 27, 2012 to Sep 9, 2024factForm ADV
← ASSOCIATED BANK, N.A.OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Jun 21, 2016 to Sep 9, 2024factForm ADV
← ASSOCIATED TRUST COMPANYOwnerSOLE MEMBER, ownership code E, domestic entity
Jun 2, 2016 to Sep 9, 2024factForm ADV

Owns (1)

← PECORA, ANTHONY, PHILIPOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 16, 2017 to Sep 9, 2024factForm ADV

Dated events

Occurred
May 21, 2026
Advisor changed firm
Mark Daniel Tumpach left Kellogg Asset Management, Llc for Rbc Capital Markets, Llc (registered 2026-05-20)
Form ADVobserved 5 days ago
Occurred
Aug 8, 2024
Control person left
Paul Mark Hilgendorf (Manager) no longer on Schedule A of Kellogg Asset Management, Llc (listed 2024-04-03, absent 2024-08-08)
Form ADVobserved 5 days ago
Occurred
Aug 8, 2024
Advisor changed firm
Mark Paul Hilgendorf left Kellogg Asset Management, Llc for Rbc Capital Markets, Llc (registered 2024-08-06)
Form ADVobserved 5 days ago
Occurred
Jul 12, 2021
Control person left
Parker John Thayer (Managing Agent) no longer on Schedule A of Kellogg Asset Management, Llc (listed 2021-03-26, absent 2021-07-12)
Form ADVobserved 5 days ago
Occurred
Oct 28, 2020
Control person left
Eric Michael Silver (Manager) no longer on Schedule A of Kellogg Asset Management, Llc (listed 2020-07-08, absent 2020-10-28)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0a0217bb-36f6-a1cf-def0-509b42dc04d7
First observed: Mar 27, 2012
Last observed: Mar 26, 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.

KELLOGG ASSET MANAGEMENT, LLC

CRD 150031

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:0a0217bb-36f6-a1cf-def0-509b42dc04d7

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:17 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PATRICK ANDREW FRY

Chartered Financial Analyst

GREEN BAY, WI

JOHN BOYDEN DUFFY

n/a

GREEN BAY, WI

n/a

yes

JON LEE SATTLER

Chartered Financial Analyst

GREEN BAY, WI

n/a

CHAN C.M. BARDEN

Chartered Financial Analyst

GREEN BAY, WI

n/a

GARY LEE ROLAIN

Chartered Financial Analyst

GREEN BAY, WI

n/a

MICHAEL ROBERT HOCHHOLZER

Chartered Financial Analyst

GREEN BAY, WI | Neenah, WI

ROLF GEORG-SLOAN JOHNSEN

n/a

St. Louis Park, MN

n/a

SAMUEL PAUL JACOBSEN

Chartered Financial Analyst

GREEN BAY, WI | St. Louis Park, MN

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ASSOCIATED BANC-CORP

SOLE SHAREHOLDER

yes

01/1995

Mar 27, 2012

Sep 9, 2024

ASSOCIATED BANK, N.A.

SOLE SHAREHOLDER

yes

05/2016

Jun 21, 2016

Sep 9, 2024

ASSOCIATED TRUST COMPANY

SOLE MEMBER

yes

05/2016

Jun 2, 2016

Sep 9, 2024

BARDEN, CHAN, C.M.

ELECTED MANAGER

yes

08/2013

Sep 5, 2013

Sep 9, 2024

FRY, PATRICK, ANDREW

ELECTED MANAGER

yes

01/2009

Mar 27, 2012

Sep 9, 2024

HOCHHOLZER, MICHAEL, ROBERT

MANAGING AGENT

yes

07/2021

Mar 27, 2012

Sep 9, 2024

PECORA, ANTHONY, PHILIP

CHIEF COMPLIANCE OFFICER

08/2017

Aug 16, 2017

Sep 9, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ASSOCIATED INVESTMENT SERVICES, INC.

n/a

Independent wealth

$1.2B

yes

n/a

ASSOCIATED BANK, N.A.

n/a

yes

n/a

ASSOCIATED TRUST COMPANY, N.A.

n/a

yes

City

State

Country

Employees

Also broker-dealer

Madison

United States

yes

Manitowoc

United States

yes

Neenah

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 26, 2026

$2.9B

n/a

2024

Mar 19, 2025

$2.7B

$2.6B

n/a

2023

Mar 20, 2024

$2.5B

n/a

2022

Mar 17, 2023

$2.2B

n/a

2021

Mar 28, 2022

$2.5B

n/a

2020

Mar 26, 2021

$2.3B

n/a

2019

Mar 25, 2020

$2.1B

n/a

2018

Mar 22, 2019

$1.9B

n/a

2017

Mar 7, 2018

$2.0B

n/a

2016

Mar 30, 2017

$1.6B

n/a

2015

Mar 30, 2016

$1.5B

n/a

2014

Mar 30, 2015

$1.6B

n/a

2013

Mar 28, 2014

$1.4B

n/a

2012

Mar 28, 2013

$1.1B

n/a

2011

Mar 27, 2012

$1.1B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

12.5%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.9B

$2.7B

7.8%

$2.2B

9.6%