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

CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT, INC.

BLOSSOM FINANCIAL SERVICES, INC., CRD 132307

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:e3bd1cb7-13f2-03e1-ae88-a31d029aa429

Data as of Feb 4, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Jan 26, 2012 to Feb 4, 2022
18 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: $204MItem 5.F on the latest filing (2022-02-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $204M
Private client RAUM: $204MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 129
Individual clients: 55
High net worth clients: 15
Custody, client assets: $20.3M
SEC number: 801-64161
CRD: 132307
Filings on the tape: 18
First filed: Jan 26, 2012
Latest filed: Feb 4, 2022
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
CLEVELAND, NANCY, DUNHAM	Cco	Na	yes	06/2004	Jan 26, 2012	Feb 4, 2022

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
2021	Feb 4, 2022	$204M	$204M	2	2	0	n/a	n/a
2020	Feb 25, 2021	$186M	$186M	2	2	0	n/a	n/a
2019	Mar 3, 2020	$172M	$172M	2	2	0	n/a	n/a
2018	Feb 25, 2019	$145M	$145M	2	2	0	n/a	n/a
2017	Mar 16, 2018	$233M	$233M	2	2	0	n/a	n/a
2016	Jan 28, 2017	$208M	$208M	4	3	n/a	n/a	n/a
2015	Jan 25, 2016	$197M	$197M	4	3	n/a	n/a	n/a
2014	Jan 26, 2015	$214M	$214M	4	3	n/a	n/a	n/a
2013	Jan 23, 2014	$204M	$204M	4	3	n/a	n/a	n/a
2012	Jan 25, 2013	$167M	$167M	4	3	n/a	n/a	n/a
2011	Jan 26, 2012	$156M	$139M	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
2021	$204M	$186M	10.2%	$145M	12.2%	2	2	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
NBT CAPITAL MANAGEMENT, INC.	2	Apr 29, 2022	Apr 11, 2022	MILWAUKEE, WI	Team lift out	Other	100.0%

Relationships

Controls (1)

← CLEVELAND, NANCY, DUNHAMOwnerCCO, ownership code NA, individual
Jan 26, 2012 to presentfactForm ADV

Affiliated with (1)

← ABG RETIREMENT PLAN INVESTMENT SERVICESRegistered adviserother investment adviser, control, common control
factForm ADV

Registered with (3)

← NANCY DUNHAM CLEVELANDAdvisorregistration: previous registration
Apr 1, 2005 to Apr 29, 2022factForm ADV
← ANN BEATRICE MEGANAdvisorregistration: previous registration
Feb 18, 2015 to Apr 29, 2022factForm ADV
← MICHAEL JON SELLINGERAdvisorregistration: previous registration
Mar 7, 2006 to Aug 15, 2014factForm ADV

Moved with (1)

→ NBT CAPITAL MANAGEMENT, INC.Registered adviser2 advisors, team lift out, same day
Apr 29, 2022 to Apr 11, 2022factForm ADV

Dated events

Occurred
Apr 29, 2022
Team lift-out
2 advisors left Cleveland Hauswirth Investment Management, Inc. (Milwaukee, WI) for Nbt Capital Management, Inc. on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Apr 29, 2022
Advisor changed firm
Ann Beatrice Megan left Cleveland Hauswirth Investment Management, Inc. for Nbt Capital Management, Inc. (registered 2022-04-11)
Form ADVobserved 6 days ago
Occurred
Apr 29, 2022
Advisor changed firm
Nancy Dunham Cleveland left Cleveland Hauswirth Investment Management, Inc. for Nbt Capital Management, Inc. (registered 2022-04-11)
Form ADVobserved 6 days ago
Occurred
May 29, 2020
Control person left
Larue Roy Hauswirth (Retired) no longer on Schedule A of Cleveland Hauswirth Investment Management, Inc. (listed 2020-03-03, absent 2020-05-29)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e3bd1cb7-13f2-03e1-ae88-a31d029aa429
First observed: Jan 26, 2012
Last observed: Feb 4, 2022 56 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.

CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT, INC.

BLOSSOM FINANCIAL SERVICES, INC., CRD 132307

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:e3bd1cb7-13f2-03e1-ae88-a31d029aa429

Data as of Feb 4, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:39 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CLEVELAND, NANCY, DUNHAM

Cco

yes

06/2004

Jan 26, 2012

Feb 4, 2022

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Feb 4, 2022

$204M

n/a

2020

Feb 25, 2021

$186M

n/a

2019

Mar 3, 2020

$172M

n/a

2018

Feb 25, 2019

$145M

n/a

2017

Mar 16, 2018

$233M

n/a

2016

Jan 28, 2017

$208M

n/a

2015

Jan 25, 2016

$197M

n/a

2014

Jan 26, 2015

$214M

n/a

2013

Jan 23, 2014

$204M

n/a

2012

Jan 25, 2013

$167M

n/a

2011

Jan 26, 2012

$156M

$139M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$204M

$186M

10.2%

$145M

12.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

NBT CAPITAL MANAGEMENT, INC.

Apr 29, 2022

Apr 11, 2022

MILWAUKEE, WI

Team lift out

Other

100.0%