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CRD 108652
APPLETON, WI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| ROBERT LOUIS RIEDL | Certified Financial Planner | APPLETON, WI | 13 | 23 | 2 | no |
| PRATEEK NMN MEHROTRA | Chartered Financial Analyst | APPLETON, WI | 13 | 23 | 2 | no |
| TIMOTHY JOSEPH LANDOLT | n/a | APPLETON, WI | 12 | 40 | 1 | no |
| DANIEL GERARD FOX | n/a | APPLETON, WI | 12 | 16 | n/a | no |
| Samuel Benjamin Moore | Certified Financial Planner | APPLETON, WI | 8 | 12 | n/a | no |
| JAMIE RICHARD BROWN | Chartered Financial Analyst | APPLETON, WI | 8 | 18 | 1 | no |
| Evan Matthew Kubiak | Certified Financial Planner | Hilton Head, SC | APPLETON, WI | 3 | 15 | n/a | no |
| Michael J Rottier | Certified Financial Planner | APPLETON, WI | 3 | 15 | n/a | no |
| JOHN DAVID WENINGER | Certified Financial Planner | APPLETON, WI | 1 | 15 | 2 | no |
| Benjamin Peter Gilkay | n/a | APPLETON, WI | 1 | 12 | n/a | no |
| Cole James Fleischmann | n/a | APPLETON, WI | 1 | 14 | 1 | no |
| ROBERT CHARLES RIEDL | Chartered Financial Analyst | APPLETON, WI | Charlotte, NC | 0 | 14 | 1 | no |
| Kylie Rae Coenen | n/a | APPLETON, WI | 0 | 11 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| EWM ALTERNATIVE INVESTMENTS SPV, LLC - SERIES 1 - PT | Venture Capital Fund | $11.8M | Feb 1, 2022 | 35 | Jan 8, 2018 | dropped | 021-281167 |
| GLOBAL ALTS SPV LLC - GROQ AI | Venture Capital Fund | $10.7M | Aug 14, 2024 | 83 | Aug 6, 2024 | reported | 021-520096 |
| EWM ALTERNATIVE INVESTMENTS SPV, LLC-SERIES 7-UNICORN TECH FUND II | Venture Capital Fund | $10.0M | Aug 14, 2024 | 40 | Mar 31, 2021 | reported | 021-281173 |
| EWM ALTERNATIVE INVESTMENTS SPV, LLC - SERIES 5 - FINTECH | Venture Capital Fund | $7.1M | Aug 14, 2024 | 22 | Feb 22, 2018 | reported | 021-303110 |
| GLOBAL ALTS SPV LLC - LS | Venture Capital Fund | $5.4M | Aug 14, 2024 | 25 | May 4, 2022 | reported | 021-443744 |
| GLOBAL ALTS SPV LLC - NSE INDIA | Private Equity Fund | $5.4M | Aug 14, 2024 | 39 | Nov 29, 2023 | reported | 021-495054 |
| EWM SPECIAL PURPOSE VEHICLE- FF, LLC | Private Equity Fund | $5.3M | Aug 14, 2024 | 18 | Jan 8, 2018 | reported | 021-260656 |
| EWM ALTERNATIVE INVESTMENTS SPV, LLC - SERIES 4 - CBD | Venture Capital Fund | $4.8M | Aug 14, 2024 | 46 | Feb 22, 2018 | reported | 021-300280 |
| GLOBAL ALTS SPV LLC - SEED | Private Equity Fund | $4.7M | Aug 14, 2024 | 21 | Jan 12, 2023 | reported | 021-468998 |
| GLOBAL ALTS FINTECH FUND II LLC | Venture Capital Fund | $1.4M | Aug 14, 2024 | 7 | Feb 1, 2022 | reported | 021-429447 |
| EWM SPECIAL PURPOSE VEHICLE- ADE, LLC | Private Equity Fund | $193,457 | Aug 14, 2024 | 17 | Jan 8, 2018 | reported | 021-276794 |
| EWM ALTERNATIVE INVESTMENTS SPV, LLC - SERIES 3 - TOWERS & FIBER | Private Equity Fund | $187,823 | Aug 14, 2024 | 18 | Jan 8, 2018 | reported | 021-288601 |
| EWM ALTERNATIVE INVESTMENTS SPV, LLC - SERIES 6 - MRI | Venture Capital Fund | $31,891 | Dec 6, 2023 | 42 | Aug 22, 2018 | reported | 021-319629 |
| EWM ALTERNATIVE INVESTMENTS SPV, LLC - SERIES 2 - UNICORN TECHNOLOGY | Venture Capital Fund | $0 | Dec 6, 2023 | 26 | Jan 8, 2018 | reported | 021-281173 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| GEHL, PAUL, OTHMAR | MANAGING MEMBER | E | yes | 02/2000 | Jan 8, 2018 | Aug 14, 2024 |
| MEHROTRA, PRATEEK, NMN | SHAREHOLDER/VICE PRESIDENT/ SECRETARY/ CHIEF INVESTMENT OFFICER | B | yes | 02/2013 | Jan 8, 2018 | Aug 14, 2024 |
| RICE, LARRY, LEE | Trustee | D | yes | 12/2012 | Jan 8, 2018 | Aug 14, 2024 |
| RICE, NANCY, EILEEN | Trustee | D | yes | 12/2012 | Jan 8, 2018 | Aug 14, 2024 |
| RIEDL, ROBERT, LOUIS | SHAREHOLDER/PRESIDENT/ CHIEF FINANCIAL OFFICER/ TREASURER/ DIRECTOR OF WEALTH MANAGEMENT/ CHIEF COMPLIANCE OFFICER | B | yes | 02/2013 | Jan 8, 2018 | Aug 14, 2024 |
| STEPHENSON, ROLAND, GLEN | LIMITED PARTNER | C | yes | 11/2021 | Jan 8, 2018 | Aug 14, 2024 |
| STEPHENSON, SUE, ELLEN | LIMITED PARTNER | C | yes | 11/2021 | Jan 8, 2018 | Aug 14, 2024 |
| THIEL, TODD, CHARLES | Member | E | yes | 11/2013 | Jan 8, 2018 | Aug 14, 2024 |
| 0913, LLC | Shareholder | B | no | 09/2013 | Jan 8, 2018 | Aug 14, 2024 |
| LARRY L. RICE AND NANCY E. RICE JOINT REVOCABLE LIVING TRUST | Shareholder | B | no | 05/2016 | Jan 8, 2018 | Aug 14, 2024 |
| ORTH, WENDY, STEPHENSON | Shareholder | A | no | 12/2015 | Jan 8, 2018 | Aug 14, 2024 |
| OTHMAR GROUP, LLC | Shareholder | A | no | 09/2014 | Jan 8, 2018 | Aug 14, 2024 |
| STEPHENSON FAMILY LIMITED PARTNERSHIP LP | Shareholder | A | no | 12/2021 | Mar 31, 2022 | Aug 14, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ETF MODEL SOLUTIONS, LLC | n/a | Independent wealth | $18.1M | N | yes | n/a |
| CHRISTOPHER PLATTEN | n/a | n/a | n/a | N | no | n/a |
| GLOBAL ALTERNATIVE INVESTMENT MANAGEMENT LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Chicago | IL | United States | 3 | no |
| GREEN BAY | Wi | United States | 3 | no |
| Madison | Wi | United States | 3 | no |
| Waukesha | Wi | United States | 3 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $609M | $403M | 14 | 10 | 6 | 11 | n/a |
| 2024 | Mar 31, 2025 | $428M | $281M | 13 | 9 | 6 | 11 | n/a |
| 2023 | Mar 26, 2024 | $354M | $288M | 12 | 8 | 5 | 10 | $44.5M |
| 2022 | Mar 30, 2023 | $296M | $264M | 12 | 8 | 5 | 11 | $45.5M |
| 2021 | Mar 31, 2022 | $295M | $269M | 10 | 6 | 5 | 9 | $52.2M |
| 2020 | Mar 31, 2021 | $230M | $213M | 8 | 6 | 4 | 9 | $58.8M |
| 2019 | Apr 30, 2020 | $179M | $178M | 8 | 6 | 4 | 8 | $41.1M |
| 2018 | Mar 29, 2019 | $158M | $157M | 8 | 6 | 2 | 8 | $41.5M |
| 2017 | Mar 30, 2018 | $134M | $132M | 7 | 4 | 2 | 7 | $29.2M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 2 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $609M | $428M | 42.5% | $296M | 27.2% | 14 | 13 | 6 | 6 |