The Appleton Group, LLC is a large advisory firm based in Appleton. It manages $179.08 million of regulatory assets for 630 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdiction of Wisconsin.
The Appleton Group provides financial planning services, portfolio management for individuals and small businesses, publication of newsletters, and educational seminars and workshops. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of The Appleton Group, LLC is $179.08 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 590% since the beginning of its operation, and $218 thousand of the total AUM is attributable to clients outside of the United States.
The advisory firm has several streams of revenue. Clients pay The Appleton Group, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of The Appleton Group is high net worth individuals with 25 clients and $70.51 million of assets under management. Among the 6 most similar advisory firms, The Appleton Group has the 2nd highest percentage of high net worth individuals out of all clients.
The amount of regulatory assets under management is $179.08 million for 226 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.
The Appleton Group doesn't advise any private funds.
The company employs 6 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Larry L Heller joined the executive team most recently as the Minority Owner.
The principal office where The Appleton Group, LLC performs its advisory services is located at 100 W. Lawrence St, Appleton, WI 54911, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 920/993-7727 or by fax 920/993-7779. The normal business hours are 8:30 am - 4:00 pm on Monday - Friday. You can find more information about the New York firm at appletongrouponline.com.