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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

LEVERTY FINANCIAL GROUP, LLC

CRD 310258

HUDSON, 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:afd8676a-12e9-a363-5d98-4f4b0c8fbcd0

Data as of Jan 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 10
On other graphs: 0
Observed: Jul 27, 2020 to Jan 22, 2026
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: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $677MItem 5.F on the latest filing (2026-01-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $670M
Private client RAUM: $671MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $113Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 2,365
Individual clients: 392
High net worth clients: 263
Custody, client assets: $81.8M
SEC number: 801-119342
CIK: 1908386
CRD: 310258
Filings on the tape: 21
First filed: Jul 27, 2020
Latest filed: Jan 22, 2026
Organised: Limited Liability Company, DE

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
MICHAEL THOMAS LEVERTY	Chartered Financial Consultant	HUDSON, WI	6	24	1	no
LUKE EDWARD KEENE	Certified Financial Planner\|Chartered Financial Consultant	Hastings, MN \| HUDSON, WI	6	18	1	no
JOSHUA QUENTIN HAWKINS	Certified Financial Planner\|Chartered Financial Consultant	HUDSON, WI	6	14	1	no
Michael John Nelson	Certified Financial Planner\|Chartered Financial Consultant	HUDSON, WI	4	10	n/a	no
Seth William Blum	Certified Financial Planner	HUDSON, WI	2	13	1	no
Matthew Gendreau	Chartered Financial Consultant	HUDSON, WI	1	11	n/a	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
HAWKINS, JOSHUA, QUENTIN	CHIEF OPERATING OFFICER	B	yes	01/2023	Feb 28, 2023	Jul 1, 2024
LEVERTY, MICHAEL, THOMAS	CHIEF EXECUTIVE OFFICER/MANAGING MEMBER	E	yes	09/2020	Sep 16, 2020	Jul 1, 2024
PIZZI, HOLLY, KATHLEEN	CHIEF COMPLIANCE OFFICER	Na	no	06/2024	Jul 1, 2024	Jul 1, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
LFG RISK SERVICES LLC	n/a	n/a	n/a	Y	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Hastings	Mn	United States	1	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
2025	Jan 22, 2026	$677M	$670M	8	6	1	n/a	n/a
2024	Feb 18, 2025	$567M	$564M	9	5	1	n/a	n/a
2023	Mar 15, 2024	$481M	$480M	8	5	0	n/a	n/a
2022	Feb 28, 2023	$377M	$376M	7	4	3	n/a	n/a
2021	Mar 21, 2022	$368M	$367M	5	4	3	n/a	n/a
2020	Mar 18, 2021	$316M	$315M	5	4	0	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
0	0	0	0.0%	0	0	0	1	0

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	$677M	$567M	19.3%	$377M	21.5%	8	9	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	2	Sep 16, 2020	Sep 16, 2020	GOLDEN VALLEY, MN	Team lift out	Other	0.1%

Relationships

Registered with (6)

← Matthew GendreauAdvisorregistration: current employment
Apr 14, 2025 to presentfactForm ADV
← Seth William BlumAdvisorregistration: current employment
Mar 11, 2024 to presentfactForm ADV
← Michael John NelsonAdvisorregistration: current employment
Feb 7, 2022 to presentfactForm ADV
← MICHAEL THOMAS LEVERTYAdvisorregistration: current employment
Sep 16, 2020 to presentfactForm ADV
← LUKE EDWARD KEENEAdvisorregistration: current employment
Sep 16, 2020 to presentfactForm ADV
← JOSHUA QUENTIN HAWKINSAdvisorregistration: current employment
Sep 16, 2020 to presentfactForm ADV

Controls (2)

← LEVERTY, MICHAEL, THOMASOwnerCHIEF EXECUTIVE OFFICER/MANAGING MEMBER, ownership code E, individual
Sep 16, 2020 to Jul 1, 2024factForm ADV
← HAWKINS, JOSHUA, QUENTINOwnerCHIEF OPERATING OFFICER, ownership code B, individual
Feb 28, 2023 to Jul 1, 2024factForm ADV

Owns (1)

← PIZZI, HOLLY, KATHLEENOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 1, 2024 to Jul 1, 2024factForm ADV

Moved with (1)

← NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviser2 advisors, team lift out, same day
Sep 16, 2020 to Sep 16, 2020factForm ADV

Dated events

Occurred
Jul 1, 2024
Control person left
Edward Luke Keene (Chief Compliance Officer/Chief Investment Officer) no longer on Schedule A of Leverty Financial Group, Llc (listed 2024-03-15, absent 2024-07-01)
Form ADVobserved 5 days ago
Occurred
Mar 15, 2024
Regulatory AUM changed
Leverty Financial Group, Llc reported RAUM $481.3M, up 28% from $377.1M (2023-04-20 to 2024-03-15)
Form ADVobserved 5 days ago
$104M
Occurred
Feb 28, 2023
Control person joined
Q Joshua Hawkins (Chief Operating Officer) appeared on Schedule A of Leverty Financial Group, Llc
Form ADVobserved 5 days ago
Occurred
Mar 18, 2021
Control person left
Lynn Abby Meyers (Chief Compliance Officer/Vp Of Wealth Management Services) no longer on Schedule A of Leverty Financial Group, Llc (listed 2020-12-21, absent 2021-03-18)
Form ADVobserved 5 days ago
Occurred
Sep 16, 2020
Control person left
William Alexander Hansen (Chief Compliance Officer) no longer on Schedule A of Leverty Financial Group, Llc (listed 2020-07-27, absent 2020-09-16)
Form ADVobserved 5 days ago
Occurred
Sep 16, 2020
Control person left
Nmn Corey Kupfer (Sole Member) no longer on Schedule A of Leverty Financial Group, Llc (listed 2020-07-27, absent 2020-09-16)
Form ADVobserved 5 days ago
Occurred
Sep 16, 2020
Control person joined
Lynn Abby Meyers (Chief Compliance Officer/Vp Of Wealth Management Services) appeared on Schedule A of Leverty Financial Group, Llc
Form ADVobserved 5 days ago
Occurred
Sep 16, 2020
Control person joined
Edward Luke Keene (Chief Investment Officer/Executive Vice President) appeared on Schedule A of Leverty Financial Group, Llc
Form ADVobserved 5 days ago
Occurred
Sep 16, 2020
Control person joined
Thomas Michael Leverty (Chief Executive Officer/Managing Member) appeared on Schedule A of Leverty Financial Group, Llc
Form ADVobserved 5 days ago
Occurred
Jul 27, 2020
First Form ADV filing
Axelhelm Capital Management filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:afd8676a-12e9-a363-5d98-4f4b0c8fbcd0
First observed: Jul 27, 2020
Last observed: Jan 22, 2026 8 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.

LEVERTY FINANCIAL GROUP, LLC

CRD 310258

HUDSON, 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:afd8676a-12e9-a363-5d98-4f4b0c8fbcd0

Data as of Jan 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MICHAEL THOMAS LEVERTY

Chartered Financial Consultant

HUDSON, WI

LUKE EDWARD KEENE

Certified Financial Planner|Chartered Financial Consultant

Hastings, MN | HUDSON, WI

JOSHUA QUENTIN HAWKINS

Certified Financial Planner|Chartered Financial Consultant

HUDSON, WI

Michael John Nelson

Certified Financial Planner|Chartered Financial Consultant

HUDSON, WI

n/a

Seth William Blum

Certified Financial Planner

HUDSON, WI

Matthew Gendreau

Chartered Financial Consultant

HUDSON, WI

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HAWKINS, JOSHUA, QUENTIN

CHIEF OPERATING OFFICER

yes

01/2023

Feb 28, 2023

Jul 1, 2024

LEVERTY, MICHAEL, THOMAS

CHIEF EXECUTIVE OFFICER/MANAGING MEMBER

yes

09/2020

Sep 16, 2020

Jul 1, 2024

PIZZI, HOLLY, KATHLEEN

CHIEF COMPLIANCE OFFICER

06/2024

Jul 1, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LFG RISK SERVICES LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Hastings

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 22, 2026

$677M

$670M

n/a

2024

Feb 18, 2025

$567M

$564M

n/a

2023

Mar 15, 2024

$481M

$480M

n/a

2022

Feb 28, 2023

$377M

$376M

n/a

2021

Mar 21, 2022

$368M

$367M

n/a

2020

Mar 18, 2021

$316M

$315M

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

$677M

$567M

19.3%

$377M

21.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

Sep 16, 2020

GOLDEN VALLEY, MN

Team lift out

Other

0.1%