Hedge Fund Database

ENDOWMENT WEALTH MANAGEMENT, INC.

Adviser information for ENDOWMENT WEALTH MANAGEMENT, INC. last updated from Form ADV on March 26th, 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 Corporation
Fiscal Year End DECEMBER
Legal Location Wisconsin, United States

Employees

Total Number of Employees 12
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 8
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,859 $288.5M
Non-Discretionary 217 $66.0M
Total 2,076 $354.5M

Clients

Type Number RAUM
Individuals 179 $64.0M
HNW Individuals 122 $246.0M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 10 $44.1M
Pension and profit sharing plans <5 $11,902
Charitable organizations 0 $0
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 $351,906
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
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 pooled investment vehiclesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsADVISORY CONSULTING SERVICES
Compensation % of AUMHourly chargesFixed feesPerformance-based fees

Identifiers

SEC RIA File Number 801-112413
SEC ERA File Number 801-112413
SEC CIK Numbers 1904477
SEC CRD Numbers 108652
Legal Entity Identifier None

Principal Office

W6272 COMMUNICATION COURT
APPLETON
WI
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 920-785-6010, Fax: 920.227.0521

Websites

thervo.com/wi/brookfield/financial-planners/endowment-wealth-management-inc www.hvst.com/organization/endowment-wealth-management www.wealthminder.com/financial-advisors/advisory-firms/endowment-wealth-management-inc/21373/ www.youtube.com/@endowmentwealthmanagement www.linkedin.com/company/global-alts alpha-maven.com/company/endowment-wealth-management-inc www.linkedin.com/company/endowment-wealth-management-inc- www.napfa.org/firm/45553/29443 www.palico.com/general-partners/endowment-wealth-management/0acc4d7b2119424798a955d36d4c9f51 www.globalalts.com mycompanyretirementplan.com/ www.endowmentwm.com/ twitter.com/endowmentwm twitter.com/globalaltsmgmt www.facebook.com/endowmentwm/

Chief Compliance Officer

ROBERT L. RIEDL
PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR OF WEALTH MANAGEMENT
W6272 COMMUNICATION COURT
APPLETON
WI
United States
Tel: 920.785.6010
Fax: 920.227.0521
(Full email address available in API data)

Regulatory Contact

TIMOTHY J. LANDOLT
DIRECTOR OF INSTITUTIONAL SERVICES
W6272 COMMUNICATION COURT
APPLETON
WI
United States
Tel: 920.785.6010
Fax: 920.227.0521
(Full email address available in API data)

Industry Affiliates

CHRISTOPHER PLATTEN, CPA Accountant or accounting firm
ETF MODEL SOLUTIONS, LLC Other investment adviser, including financial planners
GLOBAL ALTERNATIVE INVESTMENT MANAGEMENT LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
EWM ALTERNATIVE INVESTMENTS SPV, LLC - SERIES 3 - TOWERS & FIBER Private Equity Fund $0.2M $0.1M 18
EWM ALTERNATIVE INVESTMENTS SPV, LLC - SERIES 4 - CBD Venture Capital Fund $4.8M $0.1M 46
EWM ALTERNATIVE INVESTMENTS SPV, LLC - SERIES 5 - FINTECH Venture Capital Fund $7.1M $0.1M 22
EWM ALTERNATIVE INVESTMENTS SPV, LLC-SERIES 7-UNICORN TECH FUND II Venture Capital Fund $10.0M $0.3M 40
EWM SPECIAL PURPOSE VEHICLE- ADE, LLC Private Equity Fund $0.2M $0.1M 17
EWM SPECIAL PURPOSE VEHICLE- FF, LLC Private Equity Fund $5.3M $0.0M 18
GLOBAL ALTS FINTECH FUND II LLC Venture Capital Fund $1.4M $0.1M 7
GLOBAL ALTS SPV LLC - LS Venture Capital Fund $5.4M $0.1M 25
GLOBAL ALTS SPV LLC - NSE INDIA Private Equity Fund $5.4M $0.1M 39
GLOBAL ALTS SPV LLC - SEED Private Equity Fund $4.7M $0.1M 21

Control Persons

Name Type Entity Title Since Ownership
MEHROTRA, PRATEEK, NMN Individual – SHAREHOLDER/VICE PRESIDENT/ SECRETARY/ CHIEF INVESTMENT OFFICER 02/2013 10-25%
RIEDL, ROBERT, LOUIS Individual – SHAREHOLDER/PRESIDENT/ CHIEF FINANCIAL OFFICER/ TREASURER/ DIRECTOR OF WEALTH MANAGEMENT/ CHIEF COMPLIANCE OFFICER 02/2013 10-25%
ORTH, WENDY, STEPHENSON Individual – SHAREHOLDER 12/2015 5-10%
0913, LLC Domestic Entity – SHAREHOLDER 09/2013 10-25%
THIEL, TODD, CHARLES Individual 0913, LLC MEMBER 11/2013 > 75%
OTHMAR GROUP, LLC Domestic Entity – SHAREHOLDER 09/2014 5-10%
LARRY L. RICE AND NANCY E. RICE JOINT REVOCABLE LIVING TRUST Domestic Entity – SHAREHOLDER 05/2016 10-25%
STEPHENSON, ROLAND, GLEN Individual STEPHENSON FAMILY LIMITED PARTNERSHIP LP LIMITED PARTNER 11/2021 25-50%
STEPHENSON, SUE, ELLEN Individual STEPHENSON FAMILY LIMITED PARTNERSHIP LP LIMITED PARTNER 11/2021 25-50%
STEPHENSON FAMILY LIMITED PARTNERSHIP LP Domestic Entity – SHAREHOLDER 12/2021 5-10%
RICE, LARRY, LEE Individual LARRY L. RICE AND NANCY E. RICE JOINT REVOCABLE LIVING TRUST TRUSTEE 12/2012 50-75%
RICE, NANCY, EILEEN Individual LARRY L. RICE AND NANCY E. RICE JOINT REVOCABLE LIVING TRUST TRUSTEE 12/2012 50-75%
GEHL, PAUL, OTHMAR Individual OTHMAR GROUP, LLC MANAGING MEMBER 02/2000 > 75%

No. Employees, Historic

2010020192020202120222023202420258 on 6/5/20198 on 6/27/20198 on 9/28/20198 on 12/24/20198 on 4/30/20208 on 6/19/20208 on 3/31/20218 on 6/15/20219 on 10/1/20219 on 1/3/20229 on 1/19/20229 on 2/1/202210 on 3/31/202210 on 5/4/202210 on 6/30/202210 on 9/2/202210 on 1/12/202312 on 3/30/202312 on 4/3/202312 on 4/6/202312 on 6/30/202312 on 11/29/202312 on 12/6/202312 on 3/26/2024

RAUM, Historic

400M200M02019202020212022202320242025158154231 on 6/5/2019158154231 on 6/27/2019158154231 on 9/28/2019158154231 on 12/24/2019179145113 on 4/30/2020179145113 on 6/19/2020229754855 on 3/31/2021229754855 on 6/15/2021229754855 on 10/1/2021229754855 on 1/3/2022229754855 on 1/19/2022229754855 on 2/1/2022294564725 on 3/31/2022294564725 on 5/4/2022294564725 on 6/30/2022294564725 on 9/2/2022294564725 on 1/12/2023296249741 on 3/30/2023296249741 on 4/3/2023296249741 on 4/6/2023296249741 on 6/30/2023296249741 on 11/29/2023296249741 on 12/6/2023354467316 on 3/26/2024

No. Clients, Historic

40020002019202020212022202320242025136 on 6/5/2019136 on 6/27/2019136 on 9/28/2019136 on 12/24/2019154 on 4/30/2020154 on 6/19/2020198 on 3/31/2021198 on 6/15/2021198 on 10/1/2021198 on 1/3/2022198 on 1/19/2022198 on 2/1/2022337 on 3/31/2022260 on 5/4/2022260 on 6/30/2022260 on 9/2/2022260 on 1/12/2023277 on 3/30/2023277 on 4/3/2023277 on 4/6/2023277 on 6/30/2023277 on 11/29/2023277 on 12/6/2023311 on 3/26/2024

Holdings

From latest 13F, filed August 1st, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 380K 2K ENVESTNET ASSET MANAGEMENT INC
ABRDN PRECIOUS METALS BASKET PHYSCL PRECS MET 342K 3K –
ACCENTURE PLC IRELAND SHS CLASS A 351K 1K ENVESTNET ASSET MANAGEMENT INC
ALPS ETF TR ALERIAN MLP 694K 14K –
AMAZON COM INC COM 327K 2K –
AMBEV SA SPONSORED ADR 53K 26K ENVESTNET ASSET MANAGEMENT INC
APPLE INC COM 974K 5K –
AT&T INC COM 204K 11K ENVESTNET ASSET MANAGEMENT INC
AUTOMATIC DATA PROCESSING IN COM 267K 1K ENVESTNET ASSET MANAGEMENT INC
BALLARD PWR SYS INC NEW COM 25K 11K –
BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 103K 10K ENVESTNET ASSET MANAGEMENT INC
CANADIAN NATL RY CO COM 300K 3K ENVESTNET ASSET MANAGEMENT INC
CARDIO DIAGNOSTICS HOLDGS IN COMMON STOCK 8K 14K –
CARRIER GLOBAL CORPORATION COM 326K 5K ENVESTNET ASSET MANAGEMENT INC
CION INVT CORP COM 689K 57K –
CONOCOPHILLIPS COM 205K 2K ENVESTNET ASSET MANAGEMENT INC
COUPANG INC CL A 720K 34K –
D R HORTON INC COM 347K 2K ENVESTNET ASSET MANAGEMENT INC
DBX ETF TR XTRACK HRVST CSI 851K 36K –
DOMINOS PIZZA INC COM 248K 480 ENVESTNET ASSET MANAGEMENT INC
ELI LILLY & CO COM 438K 484 ENVESTNET ASSET MANAGEMENT INC
FIDELITY COVINGTON TRUST MSCI INFO TECH I 274K 2K –
FIRST TR EXCHANGE-TRADED FD MULTI ASSET DI 519K 33K –
FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 2M 39K –
FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 246K 8K –
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 2M 32K –
FLEXSHARES TR STOXX GLOBR INF 501K 9K –
FLEXSHARES TR IBOXX 3R TARGT 207K 9K –
FRANKLIN BSP RLTY TR INC COMMON STOCK 191K 15K –
FS CREDIT OPPORTUNITIES CORP COMMON STOCK 442K 69K –
FS KKR CAP CORP COM 2M 93K –
GINKGO BIOWORKS HOLDINGS INC CL A SHS 6K 17K –
GLOBAL X FDS GLB X MLP ENRG I 263K 5K –
GLOBAL X FDS US INFR DEV ETF 249K 7K –
GLOBAL X FDS GLBL X MLP ETF 537K 11K –
HALEON PLC SPON ADS 106K 13K ENVESTNET ASSET MANAGEMENT INC
HDFC BANK LTD SPONSORED ADS 292K 5K ENVESTNET ASSET MANAGEMENT INC
HUMACYTE INC COM 482K 101K –
ICICI BANK LIMITED ADR 249K 9K ENVESTNET ASSET MANAGEMENT INC
INDEXIQ ETF TR HEDGE MLTI ETF 6M 201K –
INTUIT COM 366K 556 ENVESTNET ASSET MANAGEMENT INC
INVESCO ACTVELY MNGD ETC FD OPTIMUM YIELD 352K 25K –
INVESCO EXCH TRADED FD TR II CEF INM COMPSI 359K 19K –
INVESCO EXCH TRADED FD TR II S&P 500 MOMNTM 1M 15K –
INVESCO EXCH TRADED FD TR II VAR RATE PFD 266K 11K –
INVESCO EXCH TRADED FD TR II EMRNG MKT SVRG 606K 30K –
INVESCO EXCH TRADED FD TR II KBW HIG DV YLD 538K 36K –
INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 1M 20K –
INVESCO EXCHANGE TRADED FD T GBL LISTED PVT 11M 184K –
INVESCO EXCHANGE TRADED FD T GBL LISTED PVT 299K 5K ENVESTNET ASSET MANAGEMENT INC
INVESCO QQQ TR UNIT SER 1 322K 671 –
ISHARES GOLD TR ISHARES NEW 393K 9K –
ISHARES INC CORE MSCI EMKT 3M 54K –
ISHARES INC JP MORGAN EM ETF 564K 16K –
ISHARES INC MSCI GBL ETF NEW 352K 9K –
ISHARES INC FRONTIER AND SEL 2M 63K –
ISHARES INC MSCI EURZONE ETF 3M 53K –
ISHARES INC CORE MSCI EMKT 666K 12K ENVESTNET ASSET MANAGEMENT INC
ISHARES INC MSCI EMERG MRKT 640K 11K –
ISHARES INC US INTL HGH YLD 752K 17K –
ISHARES TR CORE S&P US GWT 3M 25K –
ISHARES TR CORE S&P TTL STK 5M 43K –
ISHARES TR MICRO-CAP ETF 794K 7K –
ISHARES TR CORE DIV GRWTH 2M 27K –
ISHARES TR MSCI INDIA ETF 1M 20K –
ISHARES TR MSCI EAFE ETF 4M 47K –
ISHARES TR JPMORGAN USD EMG 575K 6K –
ISHARES TR EAFE SML CP ETF 2M 34K –
ISHARES TR IBONDS DEC24 ETF 3M 114K –
ISHARES TR CORE S&P SCP ETF 705K 7K –
ISHARES TR MSCI EMG MKT ETF 715K 17K –
ISHARES TR IBONDS 24 TRM HG 1M 59K –
ISHARES TR CORE MSCI EAFE 2M 33K –
ISHARES TR CORE S&P US VLU 2M 25K –
ISHARES TR CORE S&P TTL STK 771K 6K ENVESTNET ASSET MANAGEMENT INC
ISHARES TR CORE MSCI EAFE 2M 21K ENVESTNET ASSET MANAGEMENT INC
ISHARES TR US OIL GS EX ETF 676K 7K –
ISHARES TR CORE MSCI INTL 710K 11K –
ISHARES TR 0-5YR HI YL CP 2M 39K –
ISHARES TR CORE MSCI EURO 646K 11K –
ISHARES TR IBONDS 24 TRM TS 2M 85K –
ISHARES TR GL TIMB FORE ETF 483K 6K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 2M 35K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 351K 6K –
KIMBERLY-CLARK CORP COM 338K 2K –
KONTOOR BRANDS INC COM 209K 3K ENVESTNET ASSET MANAGEMENT INC
LOWES COS INC COM 340K 2K ENVESTNET ASSET MANAGEMENT INC
MARQETA INC CLASS A COM 62K 11K –
MASTERCARD INCORPORATED CL A 347K 786 ENVESTNET ASSET MANAGEMENT INC
MERCK & CO INC COM 315K 3K ENVESTNET ASSET MANAGEMENT INC
MICROSOFT CORP COM 2M 4K –
MICROSOFT CORP COM 219K 491 ENVESTNET ASSET MANAGEMENT INC
NETFLIX INC COM 963K 1K –
ORACLE CORP COM 341K 2K ENVESTNET ASSET MANAGEMENT INC
PACER FDS TR US CASH COWS 100 2M 28K –
PACER FDS TR DATA AND INFRAST 202K 7K –
PALANTIR TECHNOLOGIES INC CL A 4M 154K –
PARKER-HANNIFIN CORP COM 389K 769 ENVESTNET ASSET MANAGEMENT INC
POWERSHARES ACTIVELY MANAGED ULTRA SHRT DUR 1M 21K –
PROCTER AND GAMBLE CO COM 228K 1K –
READY CAPITAL CORP COM 181K 22K –
ROBINHOOD MKTS INC COM CL A 1M 45K –
ROPER TECHNOLOGIES INC COM 320K 567 ENVESTNET ASSET MANAGEMENT INC
RTX CORPORATION COM 267K 3K ENVESTNET ASSET MANAGEMENT INC
S&P GLOBAL INC COM 322K 723 ENVESTNET ASSET MANAGEMENT INC
SAP SE SPON ADR 200K 993 ENVESTNET ASSET MANAGEMENT INC
SCHWAB STRATEGIC TR US AGGREGATE B 786K 17K ENVESTNET ASSET MANAGEMENT INC
SHERWIN WILLIAMS CO COM 299K 1K ENVESTNET ASSET MANAGEMENT INC
SPDR SER TR BLOOMBERG 1-3 MO 554K 6K –
SSGA ACTIVE ETF TR BLACKSTONE SENR 271K 6K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 1M 6K ENVESTNET ASSET MANAGEMENT INC
TJX COS INC NEW COM 315K 3K ENVESTNET ASSET MANAGEMENT INC
UBER TECHNOLOGIES INC COM 908K 12K –
UNITEDHEALTH GROUP INC COM 325K 637 ENVESTNET ASSET MANAGEMENT INC
UNITY BIOTECHNOLOGY INC COM NEW 18K 13K –
VANECK ETF TRUST BDC INCOME ETF 401K 23K –
VANECK ETF TRUST MRNGSTR WDE MOAT 1M 17K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 1M 17K –
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 570K 12K –
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 285K 6K ENVESTNET ASSET MANAGEMENT INC
VANGUARD INDEX FDS REAL ESTATE ETF 998K 12K –
VANGUARD INDEX FDS TOTAL STK MKT 6M 22K –
VANGUARD INDEX FDS VALUE ETF 1M 7K ENVESTNET ASSET MANAGEMENT INC
VANGUARD INDEX FDS GROWTH ETF 1M 3K ENVESTNET ASSET MANAGEMENT INC
VANGUARD INDEX FDS MCAP VL IDXVIP 222K 1K –
VANGUARD INTL EQUITY INDEX F GLB EX US ETF 1M 30K –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 3M 28K –
VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 2M 10K ENVESTNET ASSET MANAGEMENT INC
VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 249K 3K ENVESTNET ASSET MANAGEMENT INC
VANGUARD STAR FDS VG TL INTL STK F 337K 6K ENVESTNET ASSET MANAGEMENT INC
VANGUARD WORLD FD INF TECH ETF 207K 359 –
VISTA GOLD CORP COM NEW 6K 13K –
WELLS FARGO CO NEW COM 218K 4K –
WEST PHARMACEUTICAL SVSC INC COM 5M 14K –
WISDOMTREE TR EMER MKT HIGH FD 1M 27K –
WISDOMTREE TR FUTRE STRAT FD 530K 15K –
ZOETIS INC CL A 281K 2K ENVESTNET ASSET MANAGEMENT INC