Hedge Fund Database

MARQUETTE WEALTH MANAGEMENT

MARQUETTE ASSET MANAGEMENT, LLC Legal Name

Adviser information for MARQUETTE WEALTH MANAGEMENT last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 8
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 2
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 584 $712.2M
Non-Discretionary 0 $0
Total 584 $712.2M

Clients

Type Number RAUM
Individuals 94 $35.9M
HNW Individuals 121 $592.1M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $6.2M
Charitable organizations 10 $43.6M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses <5 $20.7M
Other 7 $13.6M
Type Number
No. of Non-RAUM Clients 5
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 26-50

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-107122
SEC ERA File Number 801-107122
SEC CIK Numbers 1395067
SEC CRD Numbers 282482
Legal Entity Identifier None

Principal Office

150 SOUTH FIFTH STREET
SUITE 2800
MINNEAPOLIS
MN
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 612-661-3770, Fax: 612-661-3737

Websites

www.linkedin.com/marquette wealth management www.marquettewm.com www.facebook.com/marquettewealthmanagement

Chief Compliance Officer

CHRISTOPHER M. VERNIER
PRESIDENT, MANAGING DIRECTOR
150 SOUTH FIFTH STREET
SUITE 2800
MINNEAPOLIS
MN
United States
Tel: 612-661-3787
Fax: 612-661-3737
(Full email address available in API data)

Regulatory Contact

KRISTY A. THOM
COMPLIANCE OFFICER
150 SOUTH FIFTH STREET
SUITE 2800
MINNEAPOLIS
MN
United States
Tel: 612-661-3782
Fax: 612-661-3737
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
VERNIER, CHRISTOPHER, MARCEL Individual – PRESIDENT 06/2016 < 5%
MARQUETTE WEALTH MANAGEMENT, LLC Domestic Entity – 100% OWNER 12/2017 > 75%
SPOO, ABBEY, MARLANA Individual – MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER 06/2022 < 5%
VERNIER, CHRISTOPHER, MARCEL Individual MARQUETTE WEALTH MANAGEMENT, LLC OWNER AND MANAGER 08/2017 > 75%
THOMAS RUTH, VALERIE, ANN Individual – MANAGING DIRECTOR 06/2022 < 5%
VERNIER, CHRISTOPHER, MARCEL Individual – CHIEF COMPLIANCE OFFICER 01/2023 > 75%

No. Employees, Historic

105020192020202120222023202420258 on 9/13/20198 on 9/13/20198 on 10/31/20198 on 3/24/20208 on 6/29/20208 on 3/23/20218 on 3/23/20218 on 3/23/20218 on 8/11/20218 on 3/29/20228 on 8/1/20228 on 1/31/20238 on 11/29/20238 on 3/27/2024

RAUM, Historic

900M450M02019202020212022202320242025705700000 on 9/13/2019705700000 on 9/13/2019705700000 on 10/31/2019801753000 on 3/24/2020801753000 on 6/29/2020877339000 on 3/23/2021877339000 on 3/23/2021877339000 on 3/23/2021877339000 on 8/11/2021810991000 on 3/29/2022810991000 on 8/1/2022569906023 on 1/31/2023569906023 on 11/29/2023712168148 on 3/27/2024

No. Clients, Historic

30015002019202020212022202320242025177 on 9/13/2019177 on 9/13/2019177 on 10/31/2019206 on 3/24/2020206 on 6/29/2020180 on 3/23/2021180 on 3/23/2021180 on 3/23/2021180 on 8/11/2021203 on 3/29/2022203 on 8/1/2022221 on 1/31/2023221 on 11/29/2023237 on 3/27/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 78K 768 Marquette Wealth Management
AADI BIOSCIENCE INC COM 93K 64K Peapod Lane Capital
ACACIA RESH CORP ACACIA TCH COM 467K 93K Peapod Lane Capital
ACLARIS THERAPEUTICS INC COM 92K 84K Peapod Lane Capital
ADAPTIMMUNE THERAPEUTICS PLC SPONDS ADR 96K 99K Peapod Lane Capital
AFLAC INC COM 18K 200 Marquette Wealth Management
ALICO INC COM 489K 19K Peapod Lane Capital
ALLOVIR INC COM 129K 179K Peapod Lane Capital
ALPHABET INC CAP STK CL A 1M 6K Marquette Wealth Management
ALPHABET INC CAP STK CL C 664K 4K Marquette Wealth Management
AMAZON COM INC COM 166K 860 Marquette Wealth Management
AMCOR PLC ORD 2M 227K Marquette Wealth Management
AMERICAN CENTY ETF TR INTL EQT ETF 31K 497 Marquette Wealth Management
AMERICAN CENTY ETF TR INTL SMCP VLU 19M 296K Marquette Wealth Management
AMERICAN CENTY ETF TR US SML CP VALU 43M 480K Marquette Wealth Management
AMGEN INC COM 82K 261 Marquette Wealth Management
AMPLIFY ETF TR AMPLIFY ALTERNAT 230 69 Marquette Wealth Management
AMPLIFY ETF TR BLOCKCHAIN LDR 1K 30 Marquette Wealth Management
AMREP CORP COM 123K 6K Peapod Lane Capital
API GROUP CORP COM STK 41K 1K Marquette Wealth Management
APPLE INC COM 3M 13K Marquette Wealth Management
APPLIED MATLS INC COM 12K 50 Marquette Wealth Management
ARK ETF TR GENOMIC REV ETF 17K 730 Marquette Wealth Management
ASSEMBLY BIOSCIENCES INC COM NEW 124K 9K Peapod Lane Capital
ASTRONOVA INC COM 292K 19K Peapod Lane Capital
ASTROTECH CORP COM 95K 11K Peapod Lane Capital
ATEA PHARMACEUTICALS INC COM 156K 47K Peapod Lane Capital
BERKSHIRE HATHAWAY INC DEL CL B NEW 957K 2K Marquette Wealth Management
BIGLARI HLDGS INC COM STK CL B 449K 2K Peapod Lane Capital
BOLT BIOTHERAPEUTICS INC COM 85K 114K Peapod Lane Capital
BRIGHTHOUSE FINL INC COM 651 15 Marquette Wealth Management
CAESARSTONE LTD ORD SHS 181K 36K Peapod Lane Capital
CATO CORP NEW CL A 498K 90K Peapod Lane Capital
CENTERPOINT ENERGY INC COM 21K 670 Marquette Wealth Management
CHIMERIX INC COM 102K 116K Peapod Lane Capital
CKX LDS INC COM 89K 7K Peapod Lane Capital
COINBASE GLOBAL INC COM CL A 445 2 Marquette Wealth Management
DAKTRONICS INC COM 22K 2K Marquette Wealth Management
DANAHER CORPORATION COM 31K 126 Marquette Wealth Management
DIMENSIONAL ETF TRUST EMERGING MKTS VA 17M 631K Marquette Wealth Management
DIMENSIONAL ETF TRUST EMGR CRE EQT MNG 17M 660K Marquette Wealth Management
DIMENSIONAL ETF TRUST INTL CORE EQT MK 60M 2M Marquette Wealth Management
ENVOY MEDICAL INC CL A 28K 12K Marquette Wealth Management
FIDELITY COVINGTON TRUST MSCI RL EST ETF 7K 263 Marquette Wealth Management
FIRST SOLAR INC COM 666K 3K Marquette Wealth Management
FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 6M 108K Marquette Wealth Management
FIRST TR EXCHANGE-TRADED FD NASDQ SEMCNDTR 13K 127 Marquette Wealth Management
FONAR CORP COM NEW 330K 21K Peapod Lane Capital
FRANKLIN STR PPTYS CORP COM 580K 379K Peapod Lane Capital
FS KKR CAP CORP COM 20K 1K Marquette Wealth Management
FUEL TECH INC COM 151K 141K Peapod Lane Capital
FULGENT GENETICS INC COM 171K 9K Peapod Lane Capital
GAIA INC NEW CL A 396K 90K Peapod Lane Capital
GENCOR INDS INC COM 142K 7K Peapod Lane Capital
GEOSPACE TECHNOLOGIES CORP COM 333K 37K Peapod Lane Capital
GLOBAL X FDS DATA CTR & DIGIT 4K 255 Marquette Wealth Management
GULF IS FABRICATION INC COM 130K 21K Peapod Lane Capital
HEARTLAND FINL USA INC COM 66K 1K Marquette Wealth Management
HERSHEY CO COM 735K 4K Marquette Wealth Management
HONEYWELL INTL INC COM 98K 460 Marquette Wealth Management
HOOKER FURNISHINGS CORPORATI COM 123K 9K Peapod Lane Capital
HURCO CO COM 537K 35K Peapod Lane Capital
IKENA ONCOLOGY INC COM 120K 73K Peapod Lane Capital
INTERNATIONAL BUSINESS MACHS COM 131K 758 Marquette Wealth Management
INTEVAC INC COM 198K 51K Peapod Lane Capital
INTREPID POTASH INC COM 195K 8K Peapod Lane Capital
INVESCO EXCH TRD SLF IDX FD BULETSHS 2029 77K 4K Marquette Wealth Management
INVESCO EXCH TRD SLF IDX FD BULETSHS 2031 CP 85K 5K Marquette Wealth Management
INVESCO EXCH TRD SLF IDX FD BULLETSHS 2032 90K 5K Marquette Wealth Management
INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 69K 3K Marquette Wealth Management
INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 69K 3K Marquette Wealth Management
INVESCO EXCH TRD SLF IDX FD BULSHS 2026 CB 69K 4K Marquette Wealth Management
INVESCO EXCH TRD SLF IDX FD BULSHS 2027 CB 76K 4K Marquette Wealth Management
INVESCO EXCH TRD SLF IDX FD INVESCO BULLETSH 27K 1K Marquette Wealth Management
INVESCO EXCH TRD SLF IDX FD INVSCO 30 CORP 85K 5K Marquette Wealth Management
INVESCO EXCH TRD SLF IDX FD INVSCO BLSH 28 77K 4K Marquette Wealth Management
INVESCO EXCHANGE TRADED FD T FTSE RAFI 1500 2M 44K Marquette Wealth Management
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 34K 207 Marquette Wealth Management
INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 28M 748K Marquette Wealth Management
INVESCO QQQ TR UNIT SER 1 866K 2K Marquette Wealth Management
ISHARES INC MSCI MEXICO ETF 3K 46 Marquette Wealth Management
ISHARES TR ASIA 50 ETF 11K 164 Marquette Wealth Management
ISHARES TR CORE S&P MCP ETF 330K 6K Marquette Wealth Management
ISHARES TR CORE S&P500 ETF 34K 62 Marquette Wealth Management
ISHARES TR CORE US AGGBD ET 38M 393K Marquette Wealth Management
ISHARES TR MICRO-CAP ETF 342 3 Marquette Wealth Management
ISHARES TR MSCI EAFE ETF 2M 31K Marquette Wealth Management
ISHARES TR MSCI INDIA ETF 6K 107 Marquette Wealth Management
ISHARES TR MSCI INDIA SM CP 6K 76 Marquette Wealth Management
ISHARES TR RUS 1000 GRW ETF 46M 125K Marquette Wealth Management
ISHARES TR RUS 1000 VAL ETF 7M 43K Marquette Wealth Management
ISHARES TR RUS 2000 VAL ETF 49K 324 Marquette Wealth Management
ISHARES TR RUS MID CAP ETF 3M 36K Marquette Wealth Management
ISHARES TR RUSSELL 2000 ETF 5M 23K Marquette Wealth Management
ISHARES TR RUSSELL 3000 ETF 124K 401 Marquette Wealth Management
ISHARES TR SELECT DIVID ETF 303K 3K Marquette Wealth Management
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 17M 292K Marquette Wealth Management
J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM 11M 206K Marquette Wealth Management
JOHNSON OUTDOORS INC CL A 279K 8K Peapod Lane Capital
JPMORGAN CHASE & CO. COM 81K 400 Marquette Wealth Management
KEZAR LIFE SCIENCES INC COM 107K 178K Peapod Lane Capital
KIMBERLY-CLARK CORP COM 22K 157 Marquette Wealth Management
KKR INCOME OPPORTUNITIES FD COM 15K 1K Marquette Wealth Management
KODIAK SCIENCES INC COM 56K 24K Peapod Lane Capital
KRONOS BIO INC COM 100K 80K Peapod Lane Capital
KVH INDS INC COM 223K 48K Peapod Lane Capital
LAKELAND INDS INC COM 270K 12K Peapod Lane Capital
LIMONEIRA CO COM 229K 11K Peapod Lane Capital
LOWES COS INC COM 29K 133 Marquette Wealth Management
LUMOS PHARMA INC COM 60K 26K Peapod Lane Capital
LYFT INC CL A COM 10K 740 Marquette Wealth Management
MCDONALDS CORP COM 46K 180 Marquette Wealth Management
MCKESSON CORP COM 30K 52 Marquette Wealth Management
MEDTRONIC PLC SHS 10K 132 Marquette Wealth Management
META PLATFORMS INC CL A 596K 1K Marquette Wealth Management
METLIFE INC COM 12K 175 Marquette Wealth Management
MICROSOFT CORP COM 1M 3K Marquette Wealth Management
MOTOROLA SOLUTIONS INC COM NEW 132K 342 Marquette Wealth Management
NEKTAR THERAPEUTICS COM 197K 159K Peapod Lane Capital
NETGEAR INC COM 132K 9K Peapod Lane Capital
NEW YORK CMNTY BANCORP INC COM 32K 10K Marquette Wealth Management
NEXPOINT DIVERSIFIED REL ET COM NEW 156K 28K Peapod Lane Capital
NEXTCURE INC COM 93K 58K Peapod Lane Capital
NEXTERA ENERGY INC COM 3K 42 Marquette Wealth Management
NIKE INC CL B 6K 80 Marquette Wealth Management
NOVARTIS AG SPONSORED ADR 2K 17 Marquette Wealth Management
NUCOR CORP COM 44K 278 Marquette Wealth Management
NUVATION BIO INC COM CL A 193K 66K Peapod Lane Capital
NUVEEN CR STRATEGIES INCOME COM SHS 62 11 –
ORACLE CORP COM 6K 44 Marquette Wealth Management
PASSAGE BIO INC COM 68K 86K Peapod Lane Capital
PHILIP MORRIS INTL INC COM 912 9 Marquette Wealth Management
PMV PHARMACEUTICALS INC COM 104K 64K Peapod Lane Capital
PRINCIPAL FINANCIAL GROUP IN COM 447K 6K Marquette Wealth Management
RAFAEL HLDGS INC COM CL B 71K 49K Peapod Lane Capital
RENEO PHARMACEUTICALS INC COM 111K 74K Peapod Lane Capital
ROSS STORES INC COM 193K 1K Marquette Wealth Management
SAGA COMMUNICATIONS INC CL A NEW 334K 21K Peapod Lane Capital
SCHWAB STRATEGIC TR INTL EQTY ETF 2M 56K Marquette Wealth Management
SCHWAB STRATEGIC TR US BRD MKT ETF 62K 993 Marquette Wealth Management
SCHWAB STRATEGIC TR US DIVIDEND EQ 52M 672K Marquette Wealth Management
SCHWAB STRATEGIC TR US LCAP GR ETF 101M 998K Marquette Wealth Management
SCHWAB STRATEGIC TR US LCAP VA ETF 710K 10K Marquette Wealth Management
SCHWAB STRATEGIC TR US MID-CAP ETF 3M 35K Marquette Wealth Management
SCHWAB STRATEGIC TR US SML CAP ETF 6M 130K Marquette Wealth Management
SEER INC COM CL A 103K 62K Peapod Lane Capital
SELECT SECTOR SPDR TR TECHNOLOGY 116K 512 Marquette Wealth Management
SENECA FOODS CORP NEW CL A 612K 11K Peapod Lane Capital
SOLVENTUM CORP COM SHS 21K 397 Marquette Wealth Management
SPDR INDEX SHS FDS PORTFOLIO EMG MK 905 24 Marquette Wealth Management
SPDR S&P 500 ETF TR TR UNIT 3M 6K Marquette Wealth Management
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 428K 800 Marquette Wealth Management
SPDR SER TR BLOOMBERG 1-3 MO 52K 565 Peapod Lane Capital
SPDR SER TR NUVEEN BLMBRG MU 186K 4K Marquette Wealth Management
SPDR SER TR PRTFLO S&P500 GW 122K 2K Marquette Wealth Management
SPDR SER TR S&P 600 SMCP VAL 416K 5K Marquette Wealth Management
SPDR SER TR S&P KENSHO NEW 1K 23 Marquette Wealth Management
SPS COMM INC COM 558K 3K Marquette Wealth Management
STAR GROUP L P UNIT LTD PARTNR 160K 15K Marquette Wealth Management
STAR HLDGS SHS BEN INT 214K 18K Peapod Lane Capital
STARBUCKS CORP COM 6K 80 Marquette Wealth Management
STRATTEC SEC CORP COM 144K 6K Peapod Lane Capital
TARGET CORP COM 195K 1K Marquette Wealth Management
TAT TECHNOLOGIES LTD ORD NEW 114K 8K Peapod Lane Capital
THERMO FISHER SCIENTIFIC INC COM 111K 200 Marquette Wealth Management
TYLER TECHNOLOGIES INC COM 264K 525 Marquette Wealth Management
UNIFI INC COM NEW 435K 74K Peapod Lane Capital
UNION PAC CORP COM 294K 1K Marquette Wealth Management
UNITED PARCEL SERVICE INC CL B 4K 28 Marquette Wealth Management
UNITEDHEALTH GROUP INC COM 651K 1K Marquette Wealth Management
UNIVERSAL ELECTRS INC COM 184K 16K Peapod Lane Capital
UNIVERSAL STAINLESS & ALLOY COM 258K 9K Peapod Lane Capital
US BANCORP DEL COM NEW 79K 2K Marquette Wealth Management
VANGUARD BD INDEX FDS SHORT TRM BOND 1K 17 Marquette Wealth Management
VANGUARD INDEX FDS GROWTH ETF 2M 5K Marquette Wealth Management
VANGUARD INDEX FDS LARGE CAP ETF 184K 736 Marquette Wealth Management
VANGUARD INDEX FDS MCAP VL IDXVIP 33K 219 Marquette Wealth Management
VANGUARD INDEX FDS MID CAP ETF 32M 130K Marquette Wealth Management
VANGUARD INDEX FDS SM CP VAL ETF 23K 124 Marquette Wealth Management
VANGUARD INDEX FDS SMALL CP ETF 2M 10K Marquette Wealth Management
VANGUARD INDEX FDS TOTAL STK MKT 99K 371 Marquette Wealth Management
VANGUARD INDEX FDS VALUE ETF 86K 534 Marquette Wealth Management
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 2K 35 Marquette Wealth Management
VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 44K 574 Marquette Wealth Management
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 75K 2K Marquette Wealth Management
VERA BRADLEY INC COM 248K 40K Peapod Lane Capital
VERALTO CORP COM SHS 7K 76 Marquette Wealth Management
VERIZON COMMUNICATIONS INC COM 9K 223 Marquette Wealth Management
VICTORY PORTFOLIOS II SHORT TRM BD ETF 30M 600K Marquette Wealth Management
VISA INC COM CL A 193K 736 Marquette Wealth Management
VOXX INTL CORP CL A 154K 49K Peapod Lane Capital
WESTWOOD HLDGS GROUP INC COM 313K 26K Peapod Lane Capital
XCEL ENERGY INC COM 123K 2K Marquette Wealth Management