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
Associated Investment Services, Inc.
Latest filing Apr 6, 2026
First filing on the tape Nov 16, 2011 · 97 filings
SEC status approved since Jul 1, 2010
RAUM
$1.2B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$1.2B individuals and HNW
Advisors
42
registered through the firm on IAPD
RAUM per advisor
$27.8M
derived; firm RAUM over IAPD count
Employees
60
27 advisory (5.B.1)
Offices
35
beyond the principal office
Private funds
0
reported on Schedule D
History
97 filings and snapshots on the tape
RAUM$1.2B as of Apr 6, 2026
Mar 27, 2012$110M then
HNW client RAUM$453M as of Apr 6, 2026
Mar 5, 2018$11.4M then
State-registered IARs (5.B.3)39 as of Apr 6, 2026
Mar 27, 201357 then
Employees (5.A)60 as of Apr 6, 2026
Mar 27, 2013110 then
Private funds: no history
RAUM +17% over the last fiscal year+12% a year over threeIARs 40 to 39offices 33 to 35
Practice profile
derived from the filing of Apr 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $27.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $784,425derivedHNW RAUM over HNW clients
- Average account
- $215,647derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.2derived36 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -2.5%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 2,500reportedItem 5.H
- Custody
- $1.2B, 3,853 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$712M61%
- High-net-worth individuals$453M39%
- State and municipal entities$1.8M0.2%
- Charitable organizations$1.7M0.1%
- Corporations and businesses$1.5M0.1%
- Individual clients
- 3,264reported
- HNW clients
- 577reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 5,422reported
- Financial planning clients
- 2,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 3,853 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=48.0derived
Advisors registered through the firm
42 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Daniel Felix Shvartsman | Port Washington, Wi | May 23, 2006 | 21 y | 0 |
| Carl Steven SellenCertified Financial Planner | Brookfield, Wi | Aug 21, 2006 | 22 y | 0 |
| Michael George Nickel | Madison, Wi | Aug 1, 2007 | 22 y | 0 |
| Nimrod Peretz Gauss-Samet | Port Washington, Wi | Nov 5, 2007 | 22 y | 0 |
| Brendan K Reid | Greenfield, Wi | Apr 24, 2008 | 21 y | 0 |
| Peter James EngstromCertified Financial Planner | Mukwonago, Wi | Jul 23, 2008 | 25 y | 1 |
| Adam Lee DalkeCertified Financial Planner | Green Bay, Wi | Dec 2, 2009 | 23 y | 0 |
| Jessica Lee Liska | Appleton, Wi | May 20, 2010 | 24 y | 2 |
| Wendi A Lucarelli | Sheboygan, Wi | Nov 16, 2010 | 22 y | 3 |
| Douglas Alden Halverson | Sun Prairie, Wi | Apr 29, 2011 | 18 y | 0 |
| Nikifor Ivanov Minkov | Chicago, Il | Aug 22, 2012 | 23 y | 4 |
| Dennis Franklin Webb | Wauwatosa, Wi | Sep 20, 2012 | 25 y | 0 |
| Jeffrey A EdwardsCertified Financial Planner | Lacrosse, Wi | Sep 3, 2013 | 38 y | 1 |
| Daniel John Fax | West Allis, Wi | May 16, 2014 | 26 y | 1 |
| Michael David Kuipers | Green Bay, Wi | Jul 16, 2015 | 27 y | 0 |
| Keith Alan Johnson | De Pere, Wi | Feb 10, 2017 | 12 y | 1 |
| Erin Leigh Haugh | Reedsburg, Wi | Feb 13, 2017 | 10 y | 0 |
| Bradley Wayne Hansen | Green Bay, Wi | Feb 13, 2017 | 30 y | 0 |
| Joanna Pauline Guinn | Chicago, Il | May 8, 2017 | 19 y | 4 |
| Kevin Wayne Koback | Green Bay, Wi | May 8, 2017 | 18 y | 1 |
| Chad Allen StafkoCertified Financial Planner | Fairview Heights, Il | Aug 17, 2017 | 25 y | 2 |
| James John Czubek | Suamico, Wi | Jun 26, 2019 | 22 y | 1 |
| Jacob Jeffrey RabasCertified Financial Planner, Chartered Financial Consultant | Green Bay, Wi | Mar 18, 2021 | 19 y | 2 |
| Scott Matthew Biertzer | Stevens Point, Wi | Jul 14, 2021 | 12 y | 4 |
| Loren Jon Piotrowski | Machesney Park, Il | Oct 1, 2021 | 27 y | 6 |
| Drew Redard | Green Bay, Wi | Jan 31, 2022 | 11 y | 0 |
| Marissa Ann Evers | Janesville, Wi | Oct 20, 2022 | 10 y | 2 |
| Daily Katherine Erickson | Reedsburg, Wi | Feb 13, 2023 | 10 y | 0 |
| Steven Joseph SchoederChartered Financial Consultant | St. Paul, Mn | Mar 6, 2023 | 31 y | 3 |
| Robert Dwane PencilCertified Financial Planner | Appleton, Wi | Jun 5, 2023 | 17 y | 6 |
| Jesus Elmer Moreno Adame | Madison, Wi | Aug 25, 2023 | 12 y | 0 |
| Anthony John Gruba | Eagan, Mn | Sep 18, 2023 | 29 y | 3 |
| Emily Elizabeth SchiltzCertified Financial Planner | Shawano, Wi | Mar 1, 2024 | 10 y | 1 |
| Heath William SorensonCertified Financial Planner | Rockford, Il | Mar 11, 2025 | 24 y | 4 |
| Michelle Arnst SlawnyCertified Financial Planner | Madison, Wi | Mar 18, 2025 | 32 y | 3 |
| John Alfred Mathison | St. Paul, Mn | Jul 25, 2025 | 12 y | 5 |
| Tanner Samuel Russo | Reedsburg, Wi | Oct 30, 2025 | 10 y | 0 |
| Nicklas Schaffer | Neenah, Wi | Jan 26, 2026 | 14 y | 0 |
| Craig Everett Keisling | Green Bay, Wi | Mar 7, 2026 | 27 y | 1 |
| Kenneth Edward Lachance | Green Bay, Wi | Jun 15, 2026 | 32 y | 1 |
Advisor movement
4 left, 4 joined in 12 months
net 0 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 9.5% of current headcount10 left over 36 months
Left, latest
- Tyler Dean Sass to LPL Financial LLCAug 7, 2026 · RIA to affiliated broker-dealer or bank
- Neil A. D. Bonneson Bruce to LPL Financial LLCJun 18, 2026 · RIA to affiliated broker-dealer or bank
- John Charles Kvamme to Morgan StanleyApr 21, 2026 · RIA to wirehouse
- Elizabeth Marie Fields to Thrivent Investment Management Inc.Nov 25, 2025 · RIA to affiliated broker-dealer or bank
- Cody Evers to Raymond James & Associates, Inc.Jun 3, 2025 · RIA to affiliated broker-dealer or bank
- Jerry William Gold to Wells Fargo AdvisorsDec 4, 2024 · RIA to wirehouse
- Jason Richard Wilke to RBC Capital Markets, LLCAug 12, 2024 · RIA to affiliated broker-dealer or bank
- Paul C. Deibele to Fidelity Personal And Workplace AdvisorsJun 10, 2024 · RIA to affiliated broker-dealer or bank
- Zachary John Nigh to Thrivent Investment Management Inc.Nov 22, 2023 · RIA to affiliated broker-dealer or bank
- Trevor John Zellmer to Edward JonesOct 4, 2023 · RIA to affiliated broker-dealer or bank
- Todd Jon Funk to Commonwealth Financial NetworkMar 3, 2023 · RIA to affiliated broker-dealer or bank
- Kelly Gerard Watzka to Commonwealth Financial NetworkMar 3, 2023 · RIA to affiliated broker-dealer or bank
- Kristy Ann Schreiber to Commonwealth Financial NetworkFeb 24, 2023 · RIA to affiliated broker-dealer or bank
- Patti Therese Hohn to Commonwealth Financial NetworkFeb 24, 2023 · RIA to affiliated broker-dealer or bank
- Michael Braden Golembiesky to Herbert J. Sims Capital Management, Inc.Dec 16, 2022 · RIA to RIA
Joined, latest
- John Ladick from LPL Financial LLCSep 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- Gracia Ann Cavanaugh from U.S. Bancorp Investments, Inc.Jul 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- Kenneth Edward Lachance from Wells Fargo AdvisorsJun 15, 2026 · Wirehouse to independent RIA
- Craig Everett Keisling from U.S. Bancorp Investments, Inc.Mar 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- John Alfred Mathison from Fidelity Personal And Workplace AdvisorsJul 25, 2025 · Affiliated broker-dealer or bank to independent RIA
- Tyler Dean Sass from LPL Financial LLCMay 23, 2025 · Affiliated broker-dealer or bank to independent RIA
- Michelle Arnst Slawny from U.S. Bancorp Investments, Inc.Mar 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- Heath William Sorenson from Midland Wealth ManagementMar 11, 2025 · Other
- Elizabeth Marie Fields from Duell Financial StrategiesJul 25, 2024 · Other
- Emily Elizabeth Schiltz from Nicolet Wealth ManagementMar 1, 2024 · RIA to RIA
- Anthony John Gruba from LPL Financial LLCSep 18, 2023 · Affiliated broker-dealer or bank to independent RIA
- Robert Dwane Pencil from Hornor, Townsend & Kent, LLCJun 5, 2023 · Affiliated broker-dealer or bank to independent RIA
- Steven Joseph Schoeder from United Planners' Financial Services Of America A Limited PartnerMar 6, 2023 · RIA to RIA
- Marissa Ann Evers from Retirement Income Strategies, LLCOct 20, 2022 · RIA to RIA
- Jerry William Gold from LPL Financial LLCSep 26, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Commonwealth Financial NetworkFeb 24, 2023 · Neenah, Wi
- 2 left for Cetera Investment Advisers LLCAug 23, 2022 · Darlington, Wi
- 3 left for RBC Capital Markets, LLCFeb 24, 2021 · Green Bay, Wi
- 2 left for Wells Fargo AdvisorsFeb 19, 2019 · Green Bay, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Andrew James Arnold · Director, Treasurercontrolsince 05/2023 · owns less than 5%
- Dennis Michael Deloye · Director, Board Of Directorscontrolsince 05/2022 · owns less than 5%
- Jayne Clara Hladio · Director, Board Of Directorscontrolsince 02/2024 · owns less than 5%
- Michael Robert Hochholzer · Director, Board Of Directorscontrolsince 07/2021 · owns less than 5%
- Michael David Kuipers · Director, President & Ceocontrolsince 07/2015 · owns less than 5%
- Heath William Sorenson · Chairman, Board Of Directorscontrolsince 02/2025 · owns less than 5%
- David Lewis Stein · Director, Board Of Directorscontrolsince 01/2011 · owns less than 5%
- John Parker Thayer · Chairman, Board Of Directorscontrolsince 07/2021 · owns less than 5%
- Steven Sia Zandpour · Director, Board Of Directorscontrolsince 08/2024 · owns less than 5%
- Justin Michael Biese · Principal, Financial Reportingsince 09/2025 · owns less than 5%
- Beth Ann Cravillion · Director Of Support Servicessince 12/2004 · owns less than 5%
- Jacob Jeffery Keller · Principal, Financial Reportingsince 05/2023 · owns less than 5%
- Anthony Philip Pecora · Chief Compliance Officersince 10/2015 · owns less than 5%
Entity owners
- Associated Trust Company, N.A. · Sole Shareholderdirect · owns 75% or more
- Associated Banc-Corp · Sole Shareholderindirect · owns 75% or more of Associated Bank, N.A. · public reporting company
- Associated Bank, N.A. · Sole Shareholderindirect · owns 75% or more of Associated Trust Company, N.A.
Related persons
Schedule D 7.A
- Associated Bank, N.A.y
- Associated Trust Company, National Associationpooled vehicle sponsorLP sponsory
- Kellogg Asset Management, LLCinvestment advisernRAUM $2.9B
Advisers that list Associated Investment Services, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Green Bay, Wi · principal | 11 | 4 | 1 | ||
| Reedsburg, Wi | 6 | 1 | 0 | ||
| Madison, Wi | 4 | 0 | 0 | ||
| St Louis Park, Mn | 4 | 0 | 1 | ||
| Chicago, Il | 4 | 0 | 0 | ||
| Appleton, Wi | 3 | 0 | 0 | ||
| Minneapolis, Mn | 3 | 3 | 0 | ||
| Machesney Park, Il | 2 | 0 | 0 | ||
| Wauwatosa, Wi | 2 | 1 | 0 | ||
| Janesville, Wi | 2 | 0 | 0 | ||
| Minocqua, Wi | 2 | 0 | 0 | ||
| Neenah, Wi | 2 | 1 | 0 | ||
| Port Washington, Wi | 2 | 0 | 0 | ||
| De Pere, Wi | 2 | 0 | 0 | ||
| Rockford, Il | 2 | 0 | 0 | ||
| Brookfield, Wi | 2 | 0 | 0 | ||
| St Paul, Mn | 2 | 0 | 0 | ||
| Watertown, Wi | 1 | 0 | 1 | ||
| Maple Grove, Mn | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- St. Louis Park, MN2 employees
- Port Washington, WI2 employees
- West Allis, WI1 employees
- Sheboygan, WI1 employees
- Fairview Heights, IL1 employees
- Watertown, WI1 employees
- Wauwatosa, WI1 employees
- Minocqua, WI1 employees
- Machesney Park, IL1 employees
- Mukwonago, WI1 employees
- St. Paul, MN1 employees
- Appleton, WI1 employees
- Lacrosse, WI1 employees
- Greenfield, WI1 employees
- Madison, WI1 employees
- Green Bay, WI1 employees
- Chicago, IL1 employees
- Sun Prairie, WI1 employees
- Brookfield, WI1 employees
- Suamico, WI1 employees
- Stevens Point, WI1 employees
- Eagan, MN1 employees
- Neenah, WI1 employees
- Shawano, WI1 employees
- De Pere, WI1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 6, 2026discretionary share of RAUM of 0% against a peer median of 99% (1362 comparable advisers, 0.0th percentile, 33.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 0.0% percentile
- control person changedChange between filings · filing Apr 6, 2026SORENSON, HEATH WILLIAM (CHAIRMAN, BOARD OF DIRECTORS) appeared on Schedule A between the filings of 2024-08-27 and 2026-04-06peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 6, 2026STEIN, DAVID LEWIS (DIRECTOR, BOARD OF DIRECTORS) left Schedule A between the filings of 2024-08-27 and 2026-04-06peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 6, 2026THAYER, JOHN PARKER (CHAIRMAN, BOARD OF DIRECTORS) left Schedule A between the filings of 2024-08-27 and 2026-04-06peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Apr 6, 2026HNW share of RAUM moved from 19.0% to 39.0% between the annual amendments of 2025-03-04 and 2026-04-06peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 5,050 to 5,422Sep 24, 2025 to Mar 30, 2026
- Advisory employees · 26 to 27Sep 24, 2025 to Mar 30, 2026
- BD registered reps · 51 to 48Sep 24, 2025 to Mar 30, 2026
- Corporate clients · 5 to 6Sep 24, 2025 to Mar 30, 2026
- HNW clients · 251 to 577Sep 24, 2025 to Mar 30, 2026
- Individual clients · 3,394 to 3,264Sep 24, 2025 to Mar 30, 2026
- Assets in custody · $1.0B to $1.2BSep 24, 2025 to Mar 30, 2026
- Employees · 62 to 60Sep 24, 2025 to Mar 30, 2026
- State-registered IARs · 40 to 39Sep 24, 2025 to Mar 30, 2026
- Other offices · 33 to 35Sep 24, 2025 to Mar 30, 2026
- HNW RAUM · $192M to $453MSep 24, 2025 to Mar 30, 2026
- Individual RAUM · $804M to $712MSep 24, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.0B to $1.2BSep 24, 2025 to Mar 30, 2026
- RAUM · $1.0B to $1.2BSep 24, 2025 to Mar 30, 2026
- Financial planning clients · More than 500 to More than 500Mar 4, 2025 to Jun 13, 2025
- Accounts · 4,578 to 5,050Jan 17, 2025 to Mar 4, 2025
- Advisory employees · 27 to 26Jan 17, 2025 to Mar 4, 2025
- BD registered reps · 49 to 51Jan 17, 2025 to Mar 4, 2025
- HNW clients · 245 to 251Jan 17, 2025 to Mar 4, 2025
- Individual clients · 3,162 to 3,394Jan 17, 2025 to Mar 4, 2025
- Assets in custody · $863M to $1.0BJan 17, 2025 to Mar 4, 2025
- HNW RAUM · $188M to $192MJan 17, 2025 to Mar 4, 2025
- Individual RAUM · $671M to $804MJan 17, 2025 to Mar 4, 2025
- Non-discretionary RAUM · $863M to $1.0BJan 17, 2025 to Mar 4, 2025
- RAUM · $863M to $1.0BJan 17, 2025 to Mar 4, 2025
- Accounts · 4,827 to 4,578Feb 21, 2024 to Mar 27, 2024
- Advisory employees · 25 to 27Feb 21, 2024 to Mar 27, 2024
- BD registered reps · 50 to 49Feb 21, 2024 to Mar 27, 2024
- Charity clients · 6 to 5Feb 21, 2024 to Mar 27, 2024
- Corporate clients · 7 to 5Feb 21, 2024 to Mar 27, 2024
- HNW clients · unset to 245.0Feb 21, 2024 to Mar 27, 2024
- Individual clients · 3,627 to 3,162Feb 21, 2024 to Mar 27, 2024
- Assets in custody · $827M to $863MFeb 21, 2024 to Mar 27, 2024
- Employees · 59 to 62Feb 21, 2024 to Mar 27, 2024
- State-registered IARs · 42 to 40Feb 21, 2024 to Mar 27, 2024
- Other offices · 133 to 33Feb 21, 2024 to Mar 27, 2024
- HNW RAUM · $3.9M to $188MFeb 21, 2024 to Mar 27, 2024
- Individual RAUM · $819M to $671MFeb 21, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $827M to $863MFeb 21, 2024 to Mar 27, 2024
- RAUM · $827M to $863MFeb 21, 2024 to Mar 27, 2024
Signals
39 dated events
- Anthony John Gruba added a IA registration at Associated Investment Services, Inc.Sep 16, 2026 · New state registration · fact
- Emily Elizabeth Schiltz added a MN registration at Associated Investment Services, Inc.Sep 15, 2026 · New state registration · fact
- Tyler Dean Sass left Associated Investment Services, Inc. for Lpl Financial Llc (registered 2026-07-27)Aug 7, 2026 · Advisor changed firm · fact
- Emily Elizabeth Schiltz added a IA registration at Associated Investment Services, Inc.Aug 7, 2026 · New state registration · fact
- Neil A. D. Bonneson Bruce left Associated Investment Services, Inc. for Lpl Financial Llc (registered 2026-06-16)Jun 18, 2026 · Advisor changed firm · fact
- John Charles Kvamme left Associated Investment Services, Inc. for Morgan Stanley (registered 2026-04-09)Apr 21, 2026 · Advisor changed firm · fact
- Elizabeth Marie Fields left Associated Investment Services, Inc. for Thrivent Investment Management Inc. (registered 2026-02-12)Nov 25, 2025 · Advisor changed firm · fact
- Cody Evers left Associated Investment Services, Inc. for Raymond James & Associates, Inc. (registered 2025-10-30)Jun 3, 2025 · Advisor changed firm · fact
- Jerry William Gold left Associated Investment Services, Inc. for Wells Fargo Advisors (registered 2024-12-04)Dec 4, 2024 · Advisor changed firm · fact
- Steven Sia Zandpour (Director, Board Of Directors) appeared on Schedule A of Associated Investment Services, Inc.Aug 27, 2024 · Control person joined · fact
- Jason Richard Wilke left Associated Investment Services, Inc. for Rbc Capital Markets, Llc (registered 2024-08-05)Aug 12, 2024 · Advisor changed firm · fact
- Paul C. Deibele left Associated Investment Services, Inc. for Fidelity Personal And Workplace Advisors (registered 2024-08-07)Jun 10, 2024 · Advisor changed firm · fact
- Associated Investment Services, Inc. reported 33 offices beyond its principal office, down from 133 (2024-02-21 to 2024-03-27)Mar 27, 2024 · Office count change · derived
- Jayne Clara Hladio (Director, Board Of Directors) appeared on Schedule A of Associated Investment Services, Inc.Feb 21, 2024 · Control person joined · fact
- Zachary John Nigh left Associated Investment Services, Inc. for Thrivent Investment Management Inc. (registered 2023-12-11)Nov 22, 2023 · Advisor changed firm · fact
- Trevor John Zellmer left Associated Investment Services, Inc. for Edward Jones (registered 2023-10-16)Oct 4, 2023 · Advisor changed firm · fact
- Andrew James Arnold (Director, Treasurer) appeared on Schedule A of Associated Investment Services, Inc.May 16, 2023 · Control person joined · fact
- Todd Jon Funk left Associated Investment Services, Inc. for Commonwealth Financial Network (registered 2023-02-24)Mar 3, 2023 · Advisor changed firm · fact
- Kelly Gerard Watzka left Associated Investment Services, Inc. for Commonwealth Financial Network (registered 2023-02-24)Mar 3, 2023 · Advisor changed firm · fact
- Kristy Ann Schreiber left Associated Investment Services, Inc. for Commonwealth Financial Network (registered 2023-02-24)Feb 24, 2023 · Advisor changed firm · fact
- Patti Therese Hohn left Associated Investment Services, Inc. for Commonwealth Financial Network (registered 2023-02-24)Feb 24, 2023 · Advisor changed firm · fact
- 4 advisors left Associated Investment Services, Inc. (Neenah, WI) for Commonwealth Financial Network within 7 daysFeb 24, 2023 · Team lift-out · derived
- Michael Braden Golembiesky left Associated Investment Services, Inc. for Herbert J. Sims Capital Management, Inc. (registered 2023-02-02)Dec 16, 2022 · Advisor changed firm · fact
- Brian James Maciejewski left Associated Investment Services, Inc. for Lpl Financial Llc (registered 2022-08-29)Aug 30, 2022 · Advisor changed firm · fact
- Mark Kevin Forberg left Associated Investment Services, Inc. for Cetera Investment Advisers Llc (registered 2024-03-21)Aug 23, 2022 · Advisor changed firm · fact
- Michael Joseph Fasano left Associated Investment Services, Inc. for Cetera Investment Advisers Llc (registered 2024-03-21)Aug 23, 2022 · Advisor changed firm · fact
- Dennis Michael Deloye (Director, Board Of Directors) appeared on Schedule A of Associated Investment Services, Inc.Aug 23, 2022 · Control person joined · fact
- Timothy Joseph Lau (Director, Board Of Directors) no longer on Schedule A of Associated Investment Services, Inc. (listed 2022-03-25, absent 2022-08-23)Aug 23, 2022 · Control person left · inference
- Brian Thomas Klaus (Director, Treasurer) no longer on Schedule A of Associated Investment Services, Inc. (listed 2022-03-25, absent 2022-08-23)Aug 23, 2022 · Control person left · inference
- 2 advisors left Associated Investment Services, Inc. (Darlington, WI) for Cetera Investment Advisers LLC on the same dayAug 23, 2022 · Team lift-out · 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
- Website
- associatedbank.com/wealth/personal-wealth/associated-investmreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-595-7722reportedpublic record, Form ADV, Apr 6, 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
- $27.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026