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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

M&I FINANCIAL ADVISORS, INC.

CRD 16517

MILWAUKEE, 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:dc14f072-26aa-7f7f-4dec-075828fb1320

Data as of Jul 19, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 135
Dated events: 0
On other graphs: 0
Observed: Feb 24, 2012 to Jul 19, 2012
4 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: $3.8BItem 5.F on the latest filing (2012-07-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.5B
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
Accounts: 36,252
Custody, client assets: $0
SEC number: 801-74429
CRD: 16517
Filings on the tape: 4
First filed: Feb 24, 2012
Latest filed: Jul 19, 2012
Organised: Corporation, 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
BANK OF MONTREAL	INDIRECT PARENT CORPORATION	E	yes	07/2011	Feb 24, 2012	Jul 19, 2012
BMO FINANCIAL CORP	PARENT COMPANY	E	yes	07/2011	Feb 24, 2012	Jul 19, 2012
MIROBALLI, MICHAEL	PRESIDENT, CEO	Na	yes	04/2012	May 2, 2012	Jul 19, 2012
CRAIN, WILLIAM JOSEPH JR	SVP, CHIEF FINANCIAL OFFICER, TREASURER, CHIEF OPERATING OFFICER	Na	no	06/1994	Feb 24, 2012	Jul 19, 2012
FENTZLAFF, RANDALL THOMAS	SVP, INVESTMENT BANKING	Na	no	06/2002	Feb 24, 2012	Jul 19, 2012
HARLESS, ROBERT WYNN	SVP, INVESTMENT BANKING, DIRECTOR	Na	no	01/2010	Feb 24, 2012	Jul 19, 2012
JOHNSON, CHERYL CLARK	ROSFP, VICE PRESIDENT	Na	no	08/1987	Feb 24, 2012	Jul 19, 2012
KREI, KENNETH CHARLES	DIRECTOR, CHAIRMAN	Na	no	01/2005	Feb 24, 2012	Jul 19, 2012
ROBERTS, ALBERTA STEPHENS	VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	Na	no	03/2012	May 2, 2012	Jul 19, 2012
URBANSKI, DEAN EDWARD	SVP, NATIONAL SALES MANAGER	Na	no	06/2007	Feb 24, 2012	Jul 19, 2012

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
M&I INVESTMENT MANAGEMENT CORP.	n/a	Former SEC adviser	$22B	N	yes	n/a
BMO HARRIS FINANCIAL ADVISORS, INC	n/a	Former SEC adviser	$5.1B	N	yes	n/a
BANK OF MONTREAL	n/a	n/a	n/a	Y	no	n/a
BMO FINANCIAL CORP.	n/a	n/a	n/a	Y	yes	n/a
BMO HARRIS BANK N.A.	n/a	n/a	n/a	N	yes	n/a
M&I DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
MARSHALL & ILSLEY TRUST COMPANY N.A.	n/a	n/a	n/a	N	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
Appleton	Wi	United States	n/a	no
Janesville	Wi	United States	n/a	no
Madison	Wi	United States	n/a	no
Milwaukee	Wi	United States	n/a	no
Wausau	Wi	United States	n/a	no

Relationships

showing 80 of 135

Affiliated with (3)

→ M&I INVESTMENT MANAGEMENT CORP.Registered adviserother investment adviser, common control
factForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← M&I INVESTMENT MANAGEMENT CORP.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Owns (7)

← CRAIN, WILLIAM JOSEPH JROwnerSVP, CHIEF FINANCIAL OFFICER, TREASURER, CHIEF OPERATING OFFICER, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV
← JOHNSON, CHERYL CLARKOwnerROSFP, VICE PRESIDENT, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV
← HARLESS, ROBERT WYNNOwnerSVP, INVESTMENT BANKING, DIRECTOR, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV
← URBANSKI, DEAN EDWARDOwnerSVP, NATIONAL SALES MANAGER, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV
← FENTZLAFF, RANDALL THOMASOwnerSVP, INVESTMENT BANKING, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV
← ROBERTS, ALBERTA STEPHENSOwnerVICE PRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 2, 2012 to presentfactForm ADV
← KREI, KENNETH CHARLESOwnerDIRECTOR, CHAIRMAN, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV

Controls (3)

← MIROBALLI, MICHAELOwnerPRESIDENT, CEO, ownership code NA, individual
May 2, 2012 to presentfactForm ADV
← BANK OF MONTREALOwnerINDIRECT PARENT CORPORATION, ownership code E, foreign entity
Feb 24, 2012 to presentfactForm ADV
← BMO FINANCIAL CORPOwnerPARENT COMPANY, ownership code E, domestic entity
Feb 24, 2012 to presentfactForm ADV

Registered with (67)

← MICHAEL MIROBALLIAdvisorregistration: previous registration
May 1, 2012 to Aug 31, 2012factForm ADV
← Steven M JosephsonAdvisorregistration: previous registration
Mar 23, 2012 to Aug 31, 2012factForm ADV
← ALBERTA STEPHENS ROBERTSAdvisorregistration: previous registration
Mar 23, 2012 to Aug 31, 2012factForm ADV
← NANCY ANNE SZYMULAAdvisorregistration: previous registration
Mar 23, 2012 to Aug 17, 2012factForm ADV
← PETER LEANDER SCHMIDTAdvisorregistration: previous registration
Sep 15, 2005 to Aug 17, 2012factForm ADV
← April Marie CleavlandAdvisorregistration: previous registration
Jun 2, 2006 to Aug 17, 2012factForm ADV
← MARNI KRISTINE ANGUSAdvisorregistration: previous registration
Aug 21, 2007 to Aug 17, 2012factForm ADV
← MICHAEL ROBERT HODANAdvisorregistration: previous registration
Sep 15, 2005 to Aug 1, 2012factForm ADV
← JOHN CHARLES WONGAdvisorregistration: previous registration
Sep 15, 2005 to Aug 1, 2012factForm ADV
← NANCY ANN SEEAdvisorregistration: previous registration
Sep 16, 2009 to Aug 1, 2012factForm ADV
← TIMOTHY CHARLES CERNYAdvisorregistration: previous registration
Dec 19, 2007 to Aug 1, 2012factForm ADV
← DON JEROME DAHLMANAdvisorregistration: previous registration
Sep 15, 2005 to Aug 1, 2012factForm ADV
← JEFFREY GERALD HEINENAdvisorregistration: previous registration
Nov 14, 2005 to Aug 1, 2012factForm ADV
← ANTHONY CHRISTOPHER PECORAROAdvisorregistration: previous registration
Sep 15, 2008 to Aug 1, 2012factForm ADV
← JONATHAN PATRICK MUELLER-SCHRADERAdvisorregistration: previous registration
Sep 15, 2005 to Aug 1, 2012factForm ADV
← Brenda Ann LaCombeAdvisorregistration: previous registration
Apr 20, 2012 to Aug 1, 2012factForm ADV
← JOHN WILLIAM HUNGERFORDAdvisorregistration: previous registration
Apr 20, 2012 to Aug 1, 2012factForm ADV
← GREG ALAN SCHROEDERAdvisorregistration: previous registration
Sep 15, 2005 to Aug 1, 2012factForm ADV
← DAVID MICHEL HAIKAdvisorregistration: previous registration
Apr 20, 2012 to Aug 1, 2012factForm ADV
← BRIAN PATRICK CORBETTAdvisorregistration: previous registration
Apr 18, 2012 to Aug 1, 2012factForm ADV
← ROBERT J LEWISAdvisorregistration: previous registration
Jun 22, 2012 to Aug 1, 2012factForm ADV
← THOMAS GREGORY RUECKLAdvisorregistration: previous registration
Sep 15, 2005 to Aug 1, 2012factForm ADV
← JOHN CASPER FURRERAdvisorregistration: previous registration
Sep 15, 2005 to Aug 1, 2012factForm ADV
← MICHAEL ALLAN SCHOLDAdvisorregistration: previous registration
Sep 15, 2005 to Aug 1, 2012factForm ADV
← MICHAEL CHARLES SCHILLINGAdvisorregistration: previous registration
Sep 15, 2005 to Aug 1, 2012factForm ADV
← BRIAN DENNIS MAZGAJAdvisorregistration: previous registration
Apr 23, 2012 to Aug 1, 2012factForm ADV
← TODD DAVID SPRECHERAdvisorregistration: previous registration
Apr 20, 2007 to Aug 1, 2012factForm ADV
← LASHELL LOUISE LENTZAdvisorregistration: previous registration
Nov 9, 2009 to Aug 1, 2012factForm ADV
← STEPHEN PETER RIORDANAdvisorregistration: previous registration
May 31, 2012 to Aug 1, 2012factForm ADV
← DAVID JUDD EDWARDSAdvisorregistration: previous registration
Nov 6, 2006 to Aug 1, 2012factForm ADV
and 37 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc14f072-26aa-7f7f-4dec-075828fb1320
First observed: Feb 24, 2012
Last observed: Jul 19, 2012 172 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.

M&I FINANCIAL ADVISORS, INC.

CRD 16517

MILWAUKEE, 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:dc14f072-26aa-7f7f-4dec-075828fb1320

Data as of Jul 19, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:21 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BANK OF MONTREAL

INDIRECT PARENT CORPORATION

yes

07/2011

Feb 24, 2012

Jul 19, 2012

BMO FINANCIAL CORP

PARENT COMPANY

yes

07/2011

Feb 24, 2012

Jul 19, 2012

MIROBALLI, MICHAEL

PRESIDENT, CEO

yes

04/2012

May 2, 2012

Jul 19, 2012

CRAIN, WILLIAM JOSEPH JR

SVP, CHIEF FINANCIAL OFFICER, TREASURER, CHIEF OPERATING OFFICER

06/1994

Feb 24, 2012

Jul 19, 2012

FENTZLAFF, RANDALL THOMAS

SVP, INVESTMENT BANKING

06/2002

Feb 24, 2012

Jul 19, 2012

HARLESS, ROBERT WYNN

SVP, INVESTMENT BANKING, DIRECTOR

01/2010

Feb 24, 2012

Jul 19, 2012

JOHNSON, CHERYL CLARK

ROSFP, VICE PRESIDENT

08/1987

Feb 24, 2012

Jul 19, 2012

KREI, KENNETH CHARLES

DIRECTOR, CHAIRMAN

01/2005

Feb 24, 2012

Jul 19, 2012

ROBERTS, ALBERTA STEPHENS

VICE PRESIDENT & CHIEF COMPLIANCE OFFICER

03/2012

May 2, 2012

Jul 19, 2012

URBANSKI, DEAN EDWARD

SVP, NATIONAL SALES MANAGER

06/2007

Feb 24, 2012

Jul 19, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

M&I INVESTMENT MANAGEMENT CORP.

n/a

Former SEC adviser

$22B

yes

n/a

BMO HARRIS FINANCIAL ADVISORS, INC

n/a

Former SEC adviser

$5.1B

yes

n/a

BANK OF MONTREAL

n/a

BMO FINANCIAL CORP.

n/a

yes

n/a

BMO HARRIS BANK N.A.

n/a

yes

n/a

M&I DISTRIBUTORS LLC

n/a

yes

n/a

MARSHALL & ILSLEY TRUST COMPANY N.A.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Appleton

United States

n/a

Janesville

United States

n/a

Madison

United States

n/a

Milwaukee

United States

n/a

Wausau

United States

n/a