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

B. C. ZIEGLER AND COMPANY

CRD 61

CHICAGO, IL

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:5de46385-f92e-cde1-58aa-e4f61e5d0edc

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 125
Dated events: 0
On other graphs: 4
Observed: Mar 30, 2012 to Mar 30, 2017
18 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

B. C. Ziegler and Company

Venture manager · shared crd

Independent Sponsorsidentity

B. C. ZIEGLER AND COMPANY

Intermediary · shared crd

Private Equityidentity

B. C. Ziegler and Company

Private equity manager · shared crd

Real Estate Fundsidentity

B. C. Ziegler and Company

Real estate fund manager · shared crd

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: $660MItem 5.F on the latest filing (2017-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $303M
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: 275
Advisory employees: 60
Accounts: 2,764
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $1.3Mgross asset value as reported per fund; never fund size
Custody, client assets: $1.3M
SEC number: 801-19699
CRD: 61
Filings on the tape: 18
First filed: Mar 30, 2012
Latest filed: Mar 30, 2017
Organised: Corporation, Wisconsin

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
ZIEGLER HEALTHCARE REAL ESTATE FUND II, LLC	Real Estate Fund	$12.6M	Jul 24, 2014	161	Mar 30, 2012	dropped	021-1346445
ZIEGLER HEALTHCARE REAL ESTATE FUND III, LLC	Real Estate Fund	$7.8M	Jul 24, 2014	71	Mar 30, 2012	dropped	021-1382391
ZIEGLER HEALTHCARE REAL ESTATE FUND I, LLC	Real Estate Fund	$7.4M	Jul 24, 2014	84	Mar 30, 2012	dropped	021-1321166
ZIEGLER HEALTHCARE REAL ESTATE FUND IV, LLC	Real Estate Fund	$5.1M	Jul 24, 2014	89	Aug 9, 2012	dropped	021-111092
ZIEGLER EQUITY FUNDING V, LLC	Private Equity Fund	$868,407	Mar 30, 2017	107	Mar 30, 2012	reported	021-1371099
ZIEGLER EQUITY FUNDING IV, LLC	Private Equity Fund	$383,153	Mar 30, 2017	58	Mar 30, 2012	reported	021-1350533
ZIEGLER EQUITY FUNDING III, LLC	Private Equity Fund	$27,843	Mar 30, 2016	102	Mar 30, 2012	reported	021-1303377

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
BAUMGARTNER, MARK ANDREW	SENIOR MANAGING DIRECTOR & CHIEF CREDIT OFFICER	Na	yes	01/2010	Mar 30, 2012	Mar 30, 2017
CARLSON, DONALD ALTON JR	SENIOR MANAGING DIRECTOR	Na	yes	09/2004	Mar 30, 2012	Mar 30, 2017
DAVID, ANGELIQUE ATHIENA	SMD, GENERAL COUNSEL, CORPORATE SECRETARY, HEAD OF HR AND COO	Na	yes	11/2010	Mar 30, 2012	Mar 30, 2017
HERMANN, DANIEL JOSEPH	MANAGING DIRECTOR-GROUP HEAD, SENIOR LIVING FINANCE DIRECTOR	Na	yes	09/2004	Mar 30, 2012	Mar 30, 2017
KELLOGG, PETER RITTENHOUSE	SHAREHOLDER - COMMON STOCK	C	yes	12/2006	Mar 30, 2012	Mar 30, 2017
MOATS, ROBERT ALAN	SENIOR MANAGING DIRECTOR, HEAD OF WEALTH MANAGEMENT	Na	yes	08/2014	Mar 30, 2015	Mar 30, 2017
PAPROCKI, THOMAS ROBERT	CEO & DIRECTOR	Na	yes	09/2004	Mar 30, 2012	Mar 30, 2017
STROM, KEVIN LOUIS	SMD HEAD OF CAPITAL MARKETS	Na	yes	01/2011	Mar 26, 2013	Mar 30, 2017
THE ZIEGLER COMPANIES, INC.	PARENT COMPANY	E	yes	04/1971	Mar 30, 2012	Mar 30, 2017
VREDENBREGT, JEFFREY CARL	MANAGING DIRECTOR, CFO & DIRECTOR	Na	yes	03/2007	Mar 30, 2012	Mar 30, 2017
BUSHMAN, JAMES MICHAEL	DIRECTOR, CHIEF COMPLIANCE OFFICER	Na	no	09/2011	Mar 30, 2012	Mar 30, 2017

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Scottsdale	Az	United States	n/a	no
Heathrow	FL	United States	n/a	no
Rockford	IL	United States	n/a	no
Richmond	Va	United States	n/a	no
Appleton	Wi	United States	n/a	no
Mequon	Wi	United States	n/a	no
Middleton	Wi	United States	n/a	no
Sheboygan	Wi	United States	n/a	no
Waukesha	Wi	United States	n/a	no
Wausau	Wi	United States	n/a	no
WEST BEND	Wi	United States	n/a	no

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
2016	Mar 30, 2017	$660M	$303M	275	60	n/a	2	$1.3M
2015	Mar 30, 2016	$412M	$268M	268	73	n/a	3	$1.4M
2014	Mar 30, 2015	$377M	$292M	269	97	n/a	3	$2.9M
2013	Mar 28, 2014	$324M	$263M	226	96	n/a	7	$36.1M
2012	Mar 26, 2013	$335M	$314M	221	81	n/a	7	$115M
2011	Mar 30, 2012	$317M	$317M	n/a	n/a	n/a	6	$127M

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
2016	$660M	$412M	60.1%	$324M	26.8%	275	268	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
STIFEL, NICOLAUS & COMPANY, INCORPORATED	2	Sep 20, 2017	Sep 5, 2017	WEST BEND, WI	Team lift out	Other	3.3%

Relationships

showing 80 of 125

Advises (3)

→ ZIEGLER EQUITY FUNDING V, LLCPrivate fundPrivate Equity Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ ZIEGLER EQUITY FUNDING IV, LLCPrivate fundPrivate Equity Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ ZIEGLER EQUITY FUNDING III, LLCPrivate fundPrivate Equity Fund, IA
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← BUSHMAN, JAMES MICHAELOwnerDIRECTOR, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Controls (10)

← BAUMGARTNER, MARK ANDREWOwnerSENIOR MANAGING DIRECTOR & CHIEF CREDIT OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← PAPROCKI, THOMAS ROBERTOwnerCEO & DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← MOATS, ROBERT ALANOwnerSENIOR MANAGING DIRECTOR, HEAD OF WEALTH MANAGEMENT, ownership code NA, individual
Mar 30, 2015 to presentfactForm ADV
← STROM, KEVIN LOUISOwnerSMD HEAD OF CAPITAL MARKETS, ownership code NA, individual
Mar 26, 2013 to presentfactForm ADV
← VREDENBREGT, JEFFREY CARLOwnerMANAGING DIRECTOR, CFO & DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← HERMANN, DANIEL JOSEPHOwnerMANAGING DIRECTOR-GROUP HEAD, SENIOR LIVING FINANCE DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← DAVID, ANGELIQUE ATHIENAOwnerSMD, GENERAL COUNSEL, CORPORATE SECRETARY, HEAD OF HR AND COO, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← CARLSON, DONALD ALTON JROwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← KELLOGG, PETER RITTENHOUSEOwnerSHAREHOLDER - COMMON STOCK, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← THE ZIEGLER COMPANIES, INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Registered with (65)

← TODD A METCALFAdvisorregistration: previous registration
Jun 18, 2007 to Mar 27, 2018factForm ADV
← KYLE FRANCIS JAVESAdvisorregistration: previous registration
Feb 14, 2017 to Mar 27, 2018factForm ADV
← DOUGLAS JOHN JOBMANAdvisorregistration: previous registration
Oct 28, 2005 to Mar 21, 2018factForm ADV
← ELIZABETH ANDREA ALLENAdvisorregistration: previous registration
Jan 9, 2017 to Mar 21, 2018factForm ADV
← SCOTT DAVID STEINKEAdvisorregistration: previous registration
Jul 1, 1997 to Mar 16, 2018factForm ADV
← LAY CARL ROSENHEIMERAdvisorregistration: previous registration
Sep 27, 2013 to Mar 16, 2018factForm ADV
← DENISE MARIE KLEMENSAdvisorregistration: previous registration
Nov 11, 1999 to Mar 16, 2018factForm ADV
← MARK WAYNE SEVERSONAdvisorregistration: previous registration
Jul 1, 1997 to Mar 16, 2018factForm ADV
← WILLIAM GERARD MORSEAdvisorregistration: previous registration
Jul 1, 1997 to Mar 16, 2018factForm ADV
← HARROLD BACHMANN RIBICHAdvisorregistration: previous registration
Jan 1, 1999 to Mar 16, 2018factForm ADV
← KIM I MARSHALLAdvisorregistration: previous registration
Jun 2, 2015 to Mar 16, 2018factForm ADV
← JUDITH K SCHULTZAdvisorregistration: previous registration
Aug 20, 2002 to Mar 16, 2018factForm ADV
← JOSEPH HENRY MURPHYAdvisorregistration: previous registration
Feb 29, 2016 to Mar 16, 2018factForm ADV
← PAUL A HEESAdvisorregistration: previous registration
Jul 18, 2011 to Mar 16, 2018factForm ADV
← GEOFFREY BROWNAdvisorregistration: previous registration
Feb 20, 2014 to Mar 16, 2018factForm ADV
← STEVEN LOUIS ZIMMERMANNAdvisorregistration: previous registration
Jun 26, 2009 to Mar 16, 2018factForm ADV
← DENNIS JAMES JOHNSONAdvisorregistration: previous registration
Oct 1, 1999 to Mar 16, 2018factForm ADV
← PETER SHANOVICHAdvisorregistration: previous registration
Jul 1, 1997 to Mar 16, 2018factForm ADV
← ROBERT JOSEPH HELLMANAdvisorregistration: previous registration
Jul 1, 1997 to Mar 16, 2018factForm ADV
← TRENT ALLEN BARRINGERAdvisorregistration: previous registration
Apr 8, 2004 to Mar 16, 2018factForm ADV
← ANGELA MARIE JAEGERAdvisorregistration: previous registration
Jan 6, 1998 to Mar 16, 2018factForm ADV
← ANDREW J BRANSKYAdvisorregistration: previous registration
Sep 30, 2009 to Mar 16, 2018factForm ADV
← STEVEN MICHAEL LUTERBACHAdvisorregistration: previous registration
Jun 12, 2009 to Mar 16, 2018factForm ADV
← SCOTT ALLEN MEASNERAdvisorregistration: previous registration
Jul 1, 1997 to Mar 16, 2018factForm ADV
← ANDREW MICHAEL WIZIARDEAdvisorregistration: previous registration
Jul 14, 1997 to Mar 16, 2018factForm ADV
← RICHARD JOHN PESICHAdvisorregistration: previous registration
Feb 6, 2001 to Mar 16, 2018factForm ADV
← DAVID JOHN VOLLMARAdvisorregistration: previous registration
Jul 1, 1997 to Mar 16, 2018factForm ADV
← NICHOLAS JAMES CORRENTEAdvisorregistration: previous registration
May 4, 2017 to Mar 16, 2018factForm ADV
← WILLARD ELDON BRANSKYAdvisorregistration: previous registration
Sep 30, 2009 to Mar 16, 2018factForm ADV
← JASON JAMES CROUCHAdvisorregistration: previous registration
Sep 1, 2004 to Mar 16, 2018factForm ADV
and 35 more

Moved with (1)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviser2 advisors, team lift out, same day
Sep 20, 2017 to Sep 5, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5de46385-f92e-cde1-58aa-e4f61e5d0edc
First observed: Mar 30, 2012
Last observed: Mar 30, 2017 115 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.

B. C. ZIEGLER AND COMPANY

CRD 61

CHICAGO, IL

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:5de46385-f92e-cde1-58aa-e4f61e5d0edc

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:36 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ZIEGLER HEALTHCARE REAL ESTATE FUND II, LLC

Real Estate Fund

$12.6M

Jul 24, 2014

161

Mar 30, 2012

dropped

021-1346445

ZIEGLER HEALTHCARE REAL ESTATE FUND III, LLC

Real Estate Fund

$7.8M

Jul 24, 2014

Mar 30, 2012

dropped

021-1382391

ZIEGLER HEALTHCARE REAL ESTATE FUND I, LLC

Real Estate Fund

$7.4M

Jul 24, 2014

Mar 30, 2012

dropped

021-1321166

ZIEGLER HEALTHCARE REAL ESTATE FUND IV, LLC

Real Estate Fund

$5.1M

Jul 24, 2014

Aug 9, 2012

dropped

021-111092

ZIEGLER EQUITY FUNDING V, LLC

Private Equity Fund

$868,407

Mar 30, 2017

107

Mar 30, 2012

reported

021-1371099

ZIEGLER EQUITY FUNDING IV, LLC

Private Equity Fund

$383,153

Mar 30, 2017

Mar 30, 2012

reported

021-1350533

ZIEGLER EQUITY FUNDING III, LLC

Private Equity Fund

$27,843

Mar 30, 2016

102

Mar 30, 2012

reported

021-1303377

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAUMGARTNER, MARK ANDREW

SENIOR MANAGING DIRECTOR & CHIEF CREDIT OFFICER

yes

01/2010

Mar 30, 2012

Mar 30, 2017

CARLSON, DONALD ALTON JR

SENIOR MANAGING DIRECTOR

yes

09/2004

Mar 30, 2012

Mar 30, 2017

DAVID, ANGELIQUE ATHIENA

SMD, GENERAL COUNSEL, CORPORATE SECRETARY, HEAD OF HR AND COO

yes

11/2010

Mar 30, 2012

Mar 30, 2017

HERMANN, DANIEL JOSEPH

MANAGING DIRECTOR-GROUP HEAD, SENIOR LIVING FINANCE DIRECTOR

yes

09/2004

Mar 30, 2012

Mar 30, 2017

KELLOGG, PETER RITTENHOUSE

SHAREHOLDER - COMMON STOCK

yes

12/2006

Mar 30, 2012

Mar 30, 2017

MOATS, ROBERT ALAN

SENIOR MANAGING DIRECTOR, HEAD OF WEALTH MANAGEMENT

yes

08/2014

Mar 30, 2015

Mar 30, 2017

PAPROCKI, THOMAS ROBERT

CEO & DIRECTOR

yes

09/2004

Mar 30, 2012

Mar 30, 2017

STROM, KEVIN LOUIS

SMD HEAD OF CAPITAL MARKETS

yes

01/2011

Mar 26, 2013

Mar 30, 2017

THE ZIEGLER COMPANIES, INC.

PARENT COMPANY

yes

04/1971

Mar 30, 2012

Mar 30, 2017

VREDENBREGT, JEFFREY CARL

MANAGING DIRECTOR, CFO & DIRECTOR

yes

03/2007

Mar 30, 2012

Mar 30, 2017

BUSHMAN, JAMES MICHAEL

DIRECTOR, CHIEF COMPLIANCE OFFICER

09/2011

Mar 30, 2012

Mar 30, 2017

City

State

Country

Employees

Also broker-dealer

Scottsdale

United States

n/a

Heathrow

United States

n/a

Rockford

United States

n/a

Richmond

United States

n/a

Appleton

United States

n/a

Mequon

United States

n/a

Middleton

United States

n/a

Sheboygan

United States

n/a

Waukesha

United States

n/a

Wausau

United States

n/a

WEST BEND

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$660M

$303M

275

n/a

$1.3M

2015

Mar 30, 2016

$412M

$268M

268

n/a

$1.4M

2014

Mar 30, 2015

$377M

$292M

269

n/a

$2.9M

2013

Mar 28, 2014

$324M

$263M

226

n/a

$36.1M

2012

Mar 26, 2013

$335M

$314M

221

n/a

$115M

2011

Mar 30, 2012

$317M

n/a

$127M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$660M

$412M

60.1%

$324M

26.8%

275

268

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Sep 20, 2017

Sep 5, 2017

WEST BEND, WI

Team lift out

Other

3.3%