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

THE APPLETON GROUP, LLC

CRD 119209

APPLETON, 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:56535c37-7fb1-a04d-7351-69a1a6025645

Data as of Mar 30, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 0
Observed: Mar 28, 2012 to Mar 30, 2023
21 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: $194MItem 5.F on the latest filing (2023-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $194M
Private client RAUM: $133MderivedItem 5.D individuals plus high net worth individuals
Private client share: 68%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 242
Individual clients: 197
High net worth clients: 37
Custody, client assets: $16.0M
SEC number: 801-62598
CRD: 119209
Filings on the tape: 21
First filed: Mar 28, 2012
Latest filed: Mar 30, 2023
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
ANDERSON, KAREN, MARIE	CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER	Na	yes	12/2017	Mar 18, 2016	Mar 30, 2023
SCHEFFLER, MARK, CHRISTOPHER	CHIEF EXECUTIVE OFFICER	C	yes	12/2017	Mar 28, 2012	Mar 30, 2023
HELLER, LARRY, L	MINORITY OWNER	Na	no	12/2017	May 6, 2013	Mar 30, 2023
SCHNEIDER, DIANE, O	MINORITY OWNER	Na	no	12/2017	May 6, 2013	Mar 30, 2023

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
2022	Mar 27, 2023	$194M	$194M	7	5	0	n/a	n/a
2021	Mar 30, 2022	$244M	$244M	7	5	0	n/a	n/a
2020	Mar 31, 2021	$212M	$212M	7	5	0	n/a	n/a
2019	Mar 31, 2020	$172M	$172M	8	6	0	n/a	n/a
2018	Mar 21, 2019	$179M	$179M	6	4	1	n/a	n/a
2017	Mar 15, 2018	$146M	$146M	6	4	1	n/a	n/a
2016	Mar 22, 2017	$132M	$132M	7	4	n/a	n/a	n/a
2015	Mar 18, 2016	$168M	$168M	6	4	n/a	n/a	n/a
2014	Apr 14, 2015	$164M	$164M	7	3	n/a	n/a	n/a
2013	Jan 9, 2014	$161M	$161M	6	3	n/a	n/a	n/a
2012	Mar 8, 2013	$138M	$138M	5	3	n/a	n/a	n/a
2011	Mar 28, 2012	$132M	$132M	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
2022	$194M	$244M	-20.3%	$172M	4.1%	7	7	0	0

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.	2	Oct 9, 2023	Oct 19, 2023	APPLETON, WI	Team lift out	RIA to RIA	100.0%

Relationships

Controls (2)

← SCHEFFLER, MARK, CHRISTOPHEROwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← ANDERSON, KAREN, MARIEOwnerCHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 18, 2016 to presentfactForm ADV

Owns (2)

← SCHNEIDER, DIANE, OOwnerMINORITY OWNER, ownership code NA, individual
May 6, 2013 to presentfactForm ADV
← HELLER, LARRY, LOwnerMINORITY OWNER, ownership code NA, individual
May 6, 2013 to presentfactForm ADV

Moved with (1)

→ JOHNSON WEALTH INC.Registered adviser2 advisors, team lift out, same day
Oct 9, 2023 to Oct 19, 2023factForm ADV

Registered with (5)

← GRACE P ANDERSONAdvisorregistration: previous registration
Feb 14, 2020 to Oct 9, 2023factForm ADV
← SAMANTHA P KOLBAdvisorregistration: previous registration
Jan 14, 2022 to Oct 9, 2023factForm ADV
← ALEXANDER JOSEPH HUNTAdvisorregistration: previous registration
Mar 19, 2015 to Jun 2, 2021factForm ADV
← MARK JAMES SPRTELAdvisorregistration: previous registration
Aug 17, 2010 to Oct 21, 2011factForm ADV
← DAVID JONES WILDAdvisorregistration: previous registration
May 5, 2008 to Jul 16, 2010factForm ADV

Dated events

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
Oct 9, 2023
Advisor changed firm
Samantha P Kolb left The Appleton Group, Llc for Johnson Wealth Inc. (registered 2023-10-19)
Form ADVobserved 6 days ago
Occurred
Oct 9, 2023
Advisor changed firm
Grace P Anderson left The Appleton Group, Llc for Johnson Wealth Inc. (registered 2023-10-19)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:56535c37-7fb1-a04d-7351-69a1a6025645
First observed: Mar 28, 2012
Last observed: Mar 30, 2023 42 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.

THE APPLETON GROUP, LLC

CRD 119209

APPLETON, 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:56535c37-7fb1-a04d-7351-69a1a6025645

Data as of Mar 30, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:03 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANDERSON, KAREN, MARIE

CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER

yes

12/2017

Mar 18, 2016

Mar 30, 2023

SCHEFFLER, MARK, CHRISTOPHER

CHIEF EXECUTIVE OFFICER

yes

12/2017

Mar 28, 2012

Mar 30, 2023

HELLER, LARRY, L

MINORITY OWNER

12/2017

May 6, 2013

Mar 30, 2023

SCHNEIDER, DIANE, O

MINORITY OWNER

12/2017

May 6, 2013

Mar 30, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 27, 2023

$194M

n/a

2021

Mar 30, 2022

$244M

n/a

2020

Mar 31, 2021

$212M

n/a

2019

Mar 31, 2020

$172M

n/a

2018

Mar 21, 2019

$179M

n/a

2017

Mar 15, 2018

$146M

n/a

2016

Mar 22, 2017

$132M

n/a

2015

Mar 18, 2016

$168M

n/a

2014

Apr 14, 2015

$164M

n/a

2013

Jan 9, 2014

$161M

n/a

2012

Mar 8, 2013

$138M

n/a

2011

Mar 28, 2012

$132M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$194M

$244M

-20.3%

$172M

4.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

JOHNSON WEALTH INC.

Oct 9, 2023

Oct 19, 2023

APPLETON, WI

Team lift out

RIA to RIA

100.0%