DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Kom Wealth Management Group, LLC

Independent wealth managerAppleton, WisconsinCRD 142682SEC 801-67464website IAPD

Latest filing Mar 4, 2026

First filing on the tape Mar 28, 2012 · 28 filings

SEC status approved since Jan 19, 2007

RAUM

$408M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

100%

$407M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$68.0M

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

28 filings and snapshots on the tape

RAUM$408M as of Mar 4, 2026

Mar 28, 2012$131M then

HNW client RAUM$272M as of Mar 4, 2026

Mar 21, 2018$143M then

State-registered IARs (5.B.3)7 as of Mar 4, 2026

Mar 28, 20120 then

Employees (5.A)7 as of Mar 4, 2026

Mar 18, 20134 then

Private funds: no history

RAUM +5.9% over the last fiscal year+11% a year over threeIARs 7 to 7

Practice profile

derived from the filing of Mar 4, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control

RAUM per advisor: $68.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 95derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $191,808derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.2derivedItem 5.A over advisors
Advisors per office: 6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +5.9%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -12%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
Custody: $108M, 221 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$272M67%
Individuals$135M33%
Corporations and businesses$563,4240.1%

Individual clients: 411reported
HNW clients: 156reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 2,126reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $108M for 221 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

6 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Richard Michael OttoCertified Financial Planner	Appleton, Wi	Mar 29, 2017	34 y	1
James Mike McgloneCertified Financial Planner	Appleton, Wi	Mar 29, 2017	31 y	1
Kenneth John Mcglone	Appleton, Wi	Aug 19, 2021	11 y	0
Troy Allen Sommerfeld	Appleton, Wi	Oct 1, 2021	16 y	1
Kaley Marie Klepps	Appleton, Wi	Jan 1, 2025	13 y	0
Macy Alexandra Strickland	Appleton, Wi	Nov 17, 2025	11 y	0

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months

Left, latest

Claus Peter Kerntke to Avaii Wealth Management, LLC
Jul 1, 2025 · RIA to RIA
David John Donze to Freedom Wealth LLC
Jul 18, 2023 · RIA to a state-registered adviser
Keith Forrest Peters to Mcglone Suttner Wealth Management, Inc.
Feb 1, 2022 · RIA to RIA
Jason Anthony Mc Glone to Mcglone Suttner Wealth Management, Inc.
Feb 1, 2022 · RIA to RIA
Peter G Van Beek to Mcglone Suttner Wealth Management, Inc.
Feb 1, 2022 · RIA to RIA
Eliot Charles Bares to Chequers Financial Management LLC
Jan 7, 2019 · RIA to RIA

Joined, latest

Troy Allen Sommerfeld from Ameriprise Financial Services, LLC
Oct 1, 2021 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 left for Mcglone Suttner Wealth Management, Inc.
Feb 1, 2022 · Appleton, Wi

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Mike James Mcglone · Senior Partner / Managing Member / Chief Compliance Officercontrol
since 02/2007 · owns 50% to 75%
John Kenneth Mcglone · Partnercontrol
since 01/2024 · owns 25% to 50%
Marie Kaley Klepps · Partner
since 01/2024 · owns 5% to 10%
Allen Troy Sommerfeld · Partner
since 01/2024 · owns 5% to 10%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Appleton, Wi · principal	6	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 2,279 to 2,126
Dec 24, 2025 to Mar 4, 2026
Charity clients · 2 to 0
Dec 24, 2025 to Mar 4, 2026
HNW clients · 114 to 156
Dec 24, 2025 to Mar 4, 2026
Individual clients · 532 to 411
Dec 24, 2025 to Mar 4, 2026
Assets in custody · $67.1M to $108M
Dec 24, 2025 to Mar 4, 2026
Discretionary RAUM · $381M to $405M
Dec 24, 2025 to Mar 4, 2026
HNW RAUM · $210M to $272M
Dec 24, 2025 to Mar 4, 2026
Individual RAUM · $174M to $135M
Dec 24, 2025 to Mar 4, 2026
Non-discretionary RAUM · $4.2M to $2.4M
Dec 24, 2025 to Mar 4, 2026
RAUM · $385M to $408M
Dec 24, 2025 to Mar 4, 2026
Business name · KERNTKE OTTO MCGLONE WEALTH MANAGEMENT GROUP to KOM WEALTH MANAGEMENT GROUP, LLC
Mar 21, 2025 to Aug 24, 2025
Financial planning clients · 0 to 0
Mar 21, 2025 to Aug 24, 2025
Legal name · KERNTKE OTTO MCGLONE WEALTH MANAGEMENT GROUP to KOM WEALTH MANAGEMENT GROUP, LLC
Mar 21, 2025 to Aug 24, 2025
Accounts · 2,206 to 2,279
Mar 19, 2024 to Mar 21, 2025
Advisory employees · 6 to 7
Mar 19, 2024 to Mar 21, 2025
Corporate clients · 10 to 8
Mar 19, 2024 to Mar 21, 2025
HNW clients · 93 to 114
Mar 19, 2024 to Mar 21, 2025
Individual clients · 511 to 532
Mar 19, 2024 to Mar 21, 2025
Assets in custody · unset to 67077677.0
Mar 19, 2024 to Mar 21, 2025
Custody of client assets · false to true
Mar 19, 2024 to Mar 21, 2025
Employees · 6 to 7
Mar 19, 2024 to Mar 21, 2025
Financial planning clients · 251-500 to 0
Mar 19, 2024 to Mar 21, 2025
State-registered IARs · 6 to 7
Mar 19, 2024 to Mar 21, 2025
Discretionary RAUM · $339M to $381M
Mar 19, 2024 to Mar 21, 2025
HNW RAUM · $181M to $210M
Mar 19, 2024 to Mar 21, 2025
Individual RAUM · $161M to $174M
Mar 19, 2024 to Mar 21, 2025
Non-discretionary RAUM · $3.9M to $4.2M
Mar 19, 2024 to Mar 21, 2025
RAUM · $343M to $385M
Mar 19, 2024 to Mar 21, 2025
Accounts · 2,133 to 2,206
Nov 29, 2023 to Mar 19, 2024
Advisory employees · 7 to 6
Nov 29, 2023 to Mar 19, 2024
Employees · 7 to 6
Nov 29, 2023 to Mar 19, 2024
Financial planning clients · 101-250 to 251-500
Nov 29, 2023 to Mar 19, 2024
State-registered IARs · 7 to 6
Nov 29, 2023 to Mar 19, 2024
Discretionary RAUM · $295M to $339M
Nov 29, 2023 to Mar 19, 2024
HNW RAUM · $142M to $181M
Nov 29, 2023 to Mar 19, 2024
Individual RAUM · $156M to $161M
Nov 29, 2023 to Mar 19, 2024
Non-discretionary RAUM · $3.7M to $3.9M
Nov 29, 2023 to Mar 19, 2024
RAUM · $298M to $343M
Nov 29, 2023 to Mar 19, 2024
Accounts · 2,011 to 2,133
Nov 28, 2022 to Mar 28, 2023
Corporate clients · 8 to 10
Nov 28, 2022 to Mar 28, 2023

Signals

12 dated events

Claus Peter Kerntke left Kom Wealth Management Group, Llc for Avaii Wealth Management, Llc (registered 2025-07-02)
Jul 1, 2025 · Advisor changed firm · fact
Peter Claus Kerntke (Senior Partner) no longer on Schedule A of Kom Wealth Management Group, Llc (listed 2023-11-29, absent 2024-03-19)
Mar 19, 2024 · Control person left · inference
Michael Richard Otto (Senior Partner) no longer on Schedule A of Kom Wealth Management Group, Llc (listed 2023-11-29, absent 2024-03-19)
Mar 19, 2024 · Control person left · inference
John Kenneth Mcglone (Partner) appeared on Schedule A of Kom Wealth Management Group, Llc
Mar 19, 2024 · Control person joined · fact
David John Donze left Kom Wealth Management Group, Llc for Freedom Wealth Llc (registered 2023-07-03)
Jul 18, 2023 · Advisor changed firm · fact
Kom Wealth Management Group, Llc reported RAUM $329.8M, down 42% from $566.4M (2022-01-31 to 2022-03-21)
Mar 21, 2022 · RAUM change · derived
Jason Anthony Mc Glone left Kom Wealth Management Group, Llc for Mcglone Suttner Wealth Management, Inc. (registered 2021-12-07)
Feb 1, 2022 · Advisor changed firm · fact
Keith Forrest Peters left Kom Wealth Management Group, Llc for Mcglone Suttner Wealth Management, Inc. (registered 2021-12-09)
Feb 1, 2022 · Advisor changed firm · fact
Peter G Van Beek left Kom Wealth Management Group, Llc for Mcglone Suttner Wealth Management, Inc. (registered 2021-12-07)
Feb 1, 2022 · Advisor changed firm · fact
3 advisors left Kom Wealth Management Group, LLC (Appleton, WI) for Mcglone Suttner Wealth Management, Inc. on the same day
Feb 1, 2022 · Team lift-out · derived
Anthony Jason Mc Glone (Senior Partner) no longer on Schedule A of Kom Wealth Management Group, Llc (listed 2021-08-20, absent 2022-01-31)
Jan 31, 2022 · Control person left · inference
Kom Wealth Management Group, Llc reported RAUM $475.8M, up 31% from $362.1M (2019-03-21 to 2020-03-24)
Mar 24, 2020 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business email: mike.otto@onekom.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 920-733-3874reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 920-733-3865reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 920-291-3901reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/kerntke-otto-mcglone-wealth-management-reportedpublic record, Form ADV, Sep 17, 2026
Website: ONEKOM.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 920-733-3865reportedpublic record, Form ADV, Mar 4, 2026
Contact form: onekom.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page: onekom.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $68.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026