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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

FIDUCIARY FIRST ADVISORS, LLC

CRD 153645

WAUSAU, 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:49ba5551-dafa-69c2-8e5b-40f5abe865d8

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 29, 2012 to Mar 31, 2021
28 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: $148MItem 5.F on the latest filing (2021-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $148M
Private client RAUM: $88.9MderivedItem 5.D individuals plus high net worth individuals
Private client share: 60%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 353
Individual clients: 92
High net worth clients: 29
Custody, client assets: $4.3M
SEC number: 801-71390
CRD: 153645
Filings on the tape: 28
First filed: Feb 29, 2012
Latest filed: Mar 31, 2021
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
BATTERMAN, THOMAS, WILLIAM	MAJORITY SHAREHOLDER	E	yes	12/2014	Feb 29, 2012	Mar 31, 2021
GEIGER, GREG, L	Cco	Na	yes	09/2018	Sep 11, 2018	Mar 31, 2021
WTC INC.	SOLE MEMBER	E	yes	04/2010	Feb 29, 2012	Mar 31, 2021

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
2020	Mar 31, 2021	$148M	$148M	3	2	0	n/a	n/a
2019	Mar 25, 2020	$131M	$131M	3	2	0	n/a	n/a
2018	Mar 20, 2019	$144M	$144M	5	3	0	n/a	n/a
2017	Mar 12, 2018	$187M	$187M	5	3	0	n/a	n/a
2016	Mar 3, 2017	$142M	$142M	5	3	n/a	n/a	n/a
2015	Feb 19, 2016	$148M	$148M	5	3	n/a	n/a	n/a
2014	Feb 5, 2015	$146M	$146M	5	3	n/a	n/a	n/a
2013	Jan 29, 2014	$137M	$137M	5	3	n/a	n/a	n/a
2012	Feb 20, 2013	$108M	$108M	6	4	n/a	n/a	n/a
2011	Feb 29, 2012	$91.8M	$91.8M	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
2020	$148M	$131M	13.2%	$187M	-7.6%	3	3	0	0

Relationships

Controls (3)

← BATTERMAN, THOMAS, WILLIAMOwnerMAJORITY SHAREHOLDER, ownership code E, individual
Feb 29, 2012 to presentfactForm ADV
← GEIGER, GREG, LOwnerCCO, ownership code NA, individual
Sep 11, 2018 to presentfactForm ADV
← WTC INC.OwnerSOLE MEMBER, ownership code E, domestic entity
Feb 29, 2012 to presentfactForm ADV

Registered with (3)

← TRAVIS JOSEPH BROCKAdvisorregistration: previous registration
Jul 24, 2012 to Feb 1, 2019factForm ADV
← HEATHER MARIE SUMMERSAdvisorregistration: previous registration
May 12, 2010 to Jan 19, 2012factForm ADV
← GERY JOSEPH SADZEWICZAdvisorregistration: previous registration
May 7, 2010 to Apr 9, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49ba5551-dafa-69c2-8e5b-40f5abe865d8
First observed: Feb 29, 2012
Last observed: Mar 31, 2021 66 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.

FIDUCIARY FIRST ADVISORS, LLC

CRD 153645

WAUSAU, 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:49ba5551-dafa-69c2-8e5b-40f5abe865d8

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:27 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BATTERMAN, THOMAS, WILLIAM

MAJORITY SHAREHOLDER

yes

12/2014

Feb 29, 2012

Mar 31, 2021

GEIGER, GREG, L

Cco

yes

09/2018

Sep 11, 2018

Mar 31, 2021

WTC INC.

SOLE MEMBER

yes

04/2010

Feb 29, 2012

Mar 31, 2021

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 31, 2021

$148M

n/a

2019

Mar 25, 2020

$131M

n/a

2018

Mar 20, 2019

$144M

n/a

2017

Mar 12, 2018

$187M

n/a

2016

Mar 3, 2017

$142M

n/a

2015

Feb 19, 2016

$148M

n/a

2014

Feb 5, 2015

$146M

n/a

2013

Jan 29, 2014

$137M

n/a

2012

Feb 20, 2013

$108M

n/a

2011

Feb 29, 2012

$91.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$148M

$131M

13.2%

$187M

-7.6%