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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

ELLENBECKER INVESTMENT GROUP

ELLENBECKER INVESTMENT GROUP, INC., CRD 173851

WAUKESHA, 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:a6108eaa-1a4e-7bd2-5325-5b54cb7de6ee

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 11
On other graphs: 0
Observed: Nov 10, 2014 to Mar 27, 2026
34 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.1BItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.1B
Private client RAUM: $2.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 20
RAUM per advisor: $103Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 51
Advisory employees: 13
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 2,287
Individual clients: 1,593
High net worth clients: 684
SEC number: 801-80600
CIK: 1731497
CRD: 173851
Filings on the tape: 34
First filed: Nov 10, 2014
Latest filed: Mar 27, 2026
Organised: Corporation, WI
Website: ellenbecker.com

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
KAREN JEAN ELLENBECKER	n/a	WAUKESHA, WI	11	40	1	no
JULIE ANN ELLENBECKER-LIPSKY	Certified Financial Planner	WAUKESHA, WI	11	29	1	no
JEAN ELLEN RANGE	Certified Financial Planner	WAUKESHA, WI	11	26	2	no
KRISTINA ELIZABETH SCHNUCKEL	Certified Financial Planner	WAUKESHA, WI	11	17	2	no
SANDRA LYNN MILLER	n/a	WAUKESHA, WI	11	11	n/a	no
HEATHER KAY DEATON	n/a	WAUKESHA, WI	9	11	n/a	no
Courtney Jo Witthuhn	n/a	WAUKESHA, WI	9	10	n/a	no
KATIE ANN MURPHY	n/a	WAUKESHA, WI	7	18	2	no
JAMIE C WILLIAMS	n/a	WAUKESHA, WI	7	15	2	no
Tammy Lyn Niemann	n/a	WAUKESHA, WI	3	19	n/a	no
ALEXIS LIN BROWN	n/a	WAUKESHA, WI	2	18	1	no
Catherine Louise Watson	n/a	WAUKESHA, WI	2	10	1	no
Michele Brehm	n/a	WAUKESHA, WI	2	14	2	no
Justin Bertzyk	n/a	WAUKESHA, WI	1	13	1	no
AMY JEAN BREMMER	Certified Financial Planner	WAUKESHA, WI	0	16	5	no
Haley Fuhrmann	n/a	WAUKESHA, WI	0	11	1	no
Isaac James Schroeder	n/a	WAUKESHA, WI	0	18	n/a	no
NIKITA A. KIBARDIN	Certified Financial Planner	WAUKESHA, WI	0	13	3	no
Colin E Oquist	n/a	WAUKESHA, WI	0	10	n/a	no
Benjamin L'Empereur	Certified Financial Planner	WAUKESHA, WI	0	12	2	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
ELLENBECKER-LIPSKY, JULIE, ANN	PRESIDENT AND CHIEF EXECUTIVE OFFICER	C	yes	06/2014	Mar 27, 2026	Mar 27, 2026
ELLENBECKER, KAREN, JEAN	FOUNDER, SECRETARY AND TREASURER	E	yes	06/2014	Mar 27, 2026	Mar 27, 2026
PAWLAK, MICHELE, LEE	CHIEF COMPLIANCE OFFICER & DIRECTOR OF BUSINESS SERVICES	Na	yes	03/2023	Mar 27, 2026	Mar 27, 2026
HIPKE, HEATHER, LYNN	CHIEF FINANCIAL OFFICER	Na	yes	06/2023	Mar 11, 2024	Mar 11, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
WHITEFISH BAY	Wi	United States	16	no
BONITA SPRINGS	FL	United States	2	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; showing 12 of 14

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$2.1B	$2.1B	51	13	2	n/a	n/a
2024	Mar 25, 2025	$1.7B	$1.7B	42	13	2	n/a	n/a
2023	Mar 11, 2024	$1.5B	$1.5B	39	13	2	n/a	n/a
2022	Mar 24, 2023	$1.3B	$1.2B	34	11	2	n/a	n/a
2021	Mar 10, 2022	$1.4B	$1.4B	33	12	2	n/a	n/a
2020	Feb 18, 2021	$1.1B	$1.1B	31	12	2	n/a	n/a
2019	Mar 3, 2020	$949M	$931M	28	12	2	n/a	n/a
2018	Feb 26, 2019	$712M	$699M	28	11	2	n/a	n/a
2017	Mar 7, 2018	$704M	$688M	23	10	2	n/a	n/a
2016	Mar 8, 2017	$541M	$541M	22	10	n/a	n/a	n/a
2015	Mar 4, 2016	$441M	$441M	23	8	n/a	n/a	n/a
2014	Mar 31, 2015	$422M	$422M	25	10	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
4	0	4	0.0%	1	0	0	9	4

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	$2.1B	$1.7B	19.1%	$1.3B	18.1%	51	42	2	2

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SII INVESTMENTS, INC.	4	Apr 1, 2015	Feb 13, 2015	PEWAUKEE, WI	Team lift out	Other	1.1%

Relationships

Registered with (30)

← Benjamin L'EmpereurAdvisorregistration: current employment
Jul 29, 2026 to presentfactForm ADV
← Colin E OquistAdvisorregistration: current employment
Jun 1, 2026 to presentfactForm ADV
← NIKITA A. KIBARDINAdvisorregistration: current employment
Apr 1, 2026 to presentfactForm ADV
← Isaac James SchroederAdvisorregistration: current employment
Dec 12, 2025 to presentfactForm ADV
← Haley FuhrmannAdvisorregistration: current employment
Oct 24, 2025 to presentfactForm ADV
← AMY JEAN BREMMERAdvisorregistration: current employment
Sep 21, 2025 to presentfactForm ADV
← Justin BertzykAdvisorregistration: current employment
Aug 14, 2025 to presentfactForm ADV
← Michele BrehmAdvisorregistration: current employment
Jun 6, 2024 to presentfactForm ADV
← ALEXIS LIN BROWNAdvisorregistration: current employment
Jan 17, 2024 to presentfactForm ADV
← Catherine Louise WatsonAdvisorregistration: current employment
Jan 17, 2024 to presentfactForm ADV
← Tammy Lyn NiemannAdvisorregistration: current employment
Mar 20, 2023 to presentfactForm ADV
← JAMIE C WILLIAMSAdvisorregistration: current employment
Aug 29, 2019 to presentfactForm ADV
← KATIE ANN MURPHYAdvisorregistration: current employment
Feb 22, 2019 to presentfactForm ADV
← Courtney Jo WitthuhnAdvisorregistration: current employment
Jul 7, 2017 to presentfactForm ADV
← HEATHER KAY DEATONAdvisorregistration: current employment
Jan 13, 2017 to presentfactForm ADV
← SANDRA LYNN MILLERAdvisorregistration: current employment
Jul 14, 2015 to presentfactForm ADV
← KRISTINA ELIZABETH SCHNUCKELAdvisorregistration: current employment
Feb 13, 2015 to presentfactForm ADV
← JEAN ELLEN RANGEAdvisorregistration: current employment
Dec 4, 2014 to presentfactForm ADV
← KAREN JEAN ELLENBECKERAdvisorregistration: current employment
Dec 2, 2014 to presentfactForm ADV
← JULIE ANN ELLENBECKER-LIPSKYAdvisorregistration: current employment
Dec 2, 2014 to presentfactForm ADV
← CARA LOUISE-MCCARTHY BUCHANANAdvisorregistration: previous registration
Nov 8, 2023 to Sep 4, 2025factForm ADV
← RYAN JOHN LUNDEENAdvisorregistration: previous registration
May 16, 2023 to Feb 19, 2025factForm ADV
← BRENT L ADAMSAdvisorregistration: previous registration
Mar 29, 2022 to Oct 7, 2024factForm ADV
← Kristina Amelia AlfiniAdvisorregistration: previous registration
Oct 14, 2019 to Mar 6, 2024factForm ADV
← MAUREEN COOGAN HOLSENAdvisorregistration: previous registration
Sep 11, 2019 to Nov 1, 2021factForm ADV
← MARK ALAN ZIETYAdvisorregistration: previous registration
May 31, 2019 to Sep 22, 2020factForm ADV
← GABRIELA A URQUIZOAdvisorregistration: previous registration
Jan 17, 2017 to Jun 2, 2020factForm ADV
← ANDY W SAEGERAdvisorregistration: previous registration
Nov 21, 2018 to Apr 15, 2019factForm ADV
← WENDY SUE PEPERKORNAdvisorregistration: previous registration
Feb 3, 2015 to Jan 17, 2018factForm ADV
← LISA EILEEN DREGNEAdvisorregistration: previous registration
Feb 4, 2015 to Nov 3, 2015factForm ADV

Controls (4)

← ELLENBECKER, KAREN, JEANOwnerFOUNDER, SECRETARY AND TREASURER, ownership code E, individual
Nov 10, 2014 to Mar 11, 2024factForm ADV
← PAWLAK, MICHELE, LEEOwnerCHIEF COMPLIANCE OFFICER & DIRECTOR OF BUSINESS SERVICES, ownership code NA, individual
Mar 11, 2024 to Mar 11, 2024factForm ADV
← ELLENBECKER-LIPSKY, JULIE, ANNOwnerPRESIDENT AND CHIEF EXECUTIVE OFFICER, ownership code C, individual
Nov 10, 2014 to Mar 11, 2024factForm ADV
← HIPKE, HEATHER, LYNNOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 11, 2024 to Mar 11, 2024factForm ADV

Moved with (1)

← SII INVESTMENTS, INC.Registered adviser4 advisors, team lift out
Apr 1, 2015 to Feb 13, 2015factForm ADV

Dated events

Occurred
Sep 4, 2025
Advisor changed firm
Cara Louise-Mccarthy Buchanan left Ellenbecker Investment Group for Bedel Financial Consulting Inc (registered 2025-12-05)
Form ADVobserved 4 days ago
Occurred
Feb 19, 2025
Advisor changed firm
Ryan John Lundeen left Ellenbecker Investment Group for Robert W. Baird & Co. Incorporated (registered 2026-06-01)
Form ADVobserved 4 days ago
Occurred
Oct 7, 2024
Advisor changed firm
Brent L Adams left Ellenbecker Investment Group for Independent Advisor Alliance, Llc (registered 2025-01-28)
Form ADVobserved 4 days ago
Occurred
Mar 11, 2024
Control person joined
Lee Michele Pawlak (Chief Compliance Officer & Director Of Business Services) appeared on Schedule A of Ellenbecker Investment Group
Form ADVobserved 4 days ago
Occurred
Mar 11, 2024
Control person joined
Lynn Heather Hipke (Chief Financial Officer) appeared on Schedule A of Ellenbecker Investment Group
Form ADVobserved 4 days ago
Occurred
Mar 6, 2024
Advisor changed firm
Kristina Amelia Alfini left Ellenbecker Investment Group for Drake & Associates, Llc (registered 2026-06-15)
Form ADVobserved 4 days ago
Occurred
Oct 25, 2021
Control person left
William Brett Engelking (Director Of Business Operations And Cco) no longer on Schedule A of Ellenbecker Investment Group (listed 2021-09-13, absent 2021-10-25)
Form ADVobserved 4 days ago
Occurred
Mar 3, 2020
Regulatory AUM changed
Ellenbecker Investment Group reported RAUM $948.7M, up 33% from $712.2M (2019-02-26 to 2020-03-03)
Form ADVobserved 4 days ago
$237M
Occurred
Feb 26, 2019
Control person joined
William Brett Engelking (Director Of Business Operations And Cco) appeared on Schedule A of Ellenbecker Investment Group
Form ADVobserved 4 days ago
Occurred
Mar 7, 2018
Regulatory AUM changed
Ellenbecker Investment Group reported RAUM $704.1M, up 30% from $540.7M (2018-01-31 to 2018-03-07)
Form ADVobserved 4 days ago
$163M
Occurred
Nov 10, 2014
First Form ADV filing
Ellenbecker Investment Group filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a6108eaa-1a4e-7bd2-5325-5b54cb7de6ee
First observed: Nov 10, 2014
Last observed: Mar 27, 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.

ELLENBECKER INVESTMENT GROUP

ELLENBECKER INVESTMENT GROUP, INC., CRD 173851

WAUKESHA, 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:a6108eaa-1a4e-7bd2-5325-5b54cb7de6ee

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:11 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KAREN JEAN ELLENBECKER

n/a

WAUKESHA, WI

JULIE ANN ELLENBECKER-LIPSKY

Certified Financial Planner

WAUKESHA, WI

JEAN ELLEN RANGE

Certified Financial Planner

WAUKESHA, WI

KRISTINA ELIZABETH SCHNUCKEL

Certified Financial Planner

WAUKESHA, WI

SANDRA LYNN MILLER

n/a

WAUKESHA, WI

n/a

HEATHER KAY DEATON

n/a

WAUKESHA, WI

n/a

Courtney Jo Witthuhn

n/a

WAUKESHA, WI

n/a

KATIE ANN MURPHY

n/a

WAUKESHA, WI

JAMIE C WILLIAMS

n/a

WAUKESHA, WI

Tammy Lyn Niemann

n/a

WAUKESHA, WI

n/a

ALEXIS LIN BROWN

n/a

WAUKESHA, WI

Catherine Louise Watson

n/a

WAUKESHA, WI

Michele Brehm

n/a

WAUKESHA, WI

Justin Bertzyk

n/a

WAUKESHA, WI

AMY JEAN BREMMER

Certified Financial Planner

WAUKESHA, WI

Haley Fuhrmann

n/a

WAUKESHA, WI

Isaac James Schroeder

n/a

WAUKESHA, WI

n/a

NIKITA A. KIBARDIN

Certified Financial Planner

WAUKESHA, WI

Colin E Oquist

n/a

WAUKESHA, WI

n/a

Benjamin L'Empereur

Certified Financial Planner

WAUKESHA, WI

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ELLENBECKER-LIPSKY, JULIE, ANN

PRESIDENT AND CHIEF EXECUTIVE OFFICER

yes

06/2014

Mar 27, 2026

ELLENBECKER, KAREN, JEAN

FOUNDER, SECRETARY AND TREASURER

yes

06/2014

Mar 27, 2026

PAWLAK, MICHELE, LEE

CHIEF COMPLIANCE OFFICER & DIRECTOR OF BUSINESS SERVICES

yes

03/2023

Mar 27, 2026

HIPKE, HEATHER, LYNN

CHIEF FINANCIAL OFFICER

yes

06/2023

Mar 11, 2024

City

State

Country

Employees

Also broker-dealer

WHITEFISH BAY

United States

BONITA SPRINGS

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$2.1B

n/a

2024

Mar 25, 2025

$1.7B

n/a

2023

Mar 11, 2024

$1.5B

n/a

2022

Mar 24, 2023

$1.3B

$1.2B

n/a

2021

Mar 10, 2022

$1.4B

n/a

2020

Feb 18, 2021

$1.1B

n/a

2019

Mar 3, 2020

$949M

$931M

n/a

2018

Feb 26, 2019

$712M

$699M

n/a

2017

Mar 7, 2018

$704M

$688M

n/a

2016

Mar 8, 2017

$541M

n/a

2015

Mar 4, 2016

$441M

n/a

2014

Mar 31, 2015

$422M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.1B

$1.7B

19.1%

$1.3B

18.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SII INVESTMENTS, INC.

Apr 1, 2015

Feb 13, 2015

PEWAUKEE, WI

Team lift out

Other

1.1%