FINANCIAL SOLUTIONS, LLC
Adviser information for FINANCIAL SOLUTIONS, LLC last updated from Form ADV on March 9th, 2023. 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 | Wisconsin, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,996 | $637.5M |
| Non-Discretionary | 170 | $214.9M |
| Total | 2,166 | $852.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 290 | $161.1M |
| HNW Individuals | 382 | $490.0M |
| 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 | 26 | $193.4M |
| Charitable organizations | 33 | $6.9M |
| 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 | 9 | $948,042 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1000 |
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 AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-107129 |
|---|---|
| SEC ERA File Number | 801-107129 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110149 |
| Legal Entity Identifier | None |
Principal Office
1900 AIRPORT ROADSUITE A
WAUKESHA
WI
United States
Monday - Friday, 8AM-4PM
Tel: 262-542-5200, Fax: 262-446-0452
Chief Compliance Officer
GERY SADZEWICZ
CCO
5205 BROOKSHIRE ESTATES DRIVE
PLAINFIELD
IL
United States
Tel:
815-782-1250
G***@*************************M
(Full email address available in API data)
Regulatory Contact
HORACE SEELY-BROWN
PARTNER
937 W. RANDOLPH
SUITE 2E
CHICAGO
IL
United States
Tel:
312-243-0155
H**********@*************M
(Full email address available in API data)
Industry Affiliates
| MJA, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STUCKERT, KENNETH, ROBERT | Individual | – | MEMBER | 01/2013 | 25-50% |
| KENTON, WILLIAM, JAMES | Individual | – | MEMBER | 01/2013 | 10-25% |
| SADZEWICZ, GERY, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2016 | < 5% |
| MCGRATH, TIMOTHY, DENNIS | Individual | – | MANAGING MEMBER | 02/2016 | 25-50% |
| SEELY-BROWN, HORACE | Individual | – | MEMBER | 02/2016 | 25-50% |