Hedge Fund Database

CANOPY WEALTH MANAGEMENT

ERN FINANCIAL, LLC Legal Name

Adviser information for CANOPY WEALTH MANAGEMENT last updated from Form ADV on March 19th, 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 Michigan, United States

Employees

Total Number of Employees 21
Investment Advisory/Research 11
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 11
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 3,012 $1.1B
Non-Discretionary 831 $185.5M
Total 3,843 $1.3B

Clients

Type Number RAUM
Individuals 552 $239.7M
HNW Individuals 362 $1.0B
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 $3.7M
Charitable organizations 11 $11.7M
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 $343,278
Other <5 $383,546
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshops
Compensation % of AUMHourly charges

Identifiers

SEC RIA File Number 801-113774
SEC ERA File Number 801-113774
SEC CIK Numbers 1768302
SEC CRD Numbers 297717
Legal Entity Identifier None

Principal Office

8215 GREENWAY BOULEVARD
SUITE 540
MIDDLETON
WI
United States
Monday - Friday, 8:00- 4:30
Tel: 608-662-9018, Fax: 608-646-7796

Websites

www.linkedin.com/company/canopy-wealth-management/ www.facebook.com/canopywealth/ www.canopy-wealth.com

Chief Compliance Officer

MARK GREGORY BUCHANAN
COO
8215 GREENWAY BOULEVARD
SUITE540
MIDDLETON
WI
United States
Tel: 602-808-1414
(Full email address available in API data)

Regulatory Contact

BETSY VOTER
ATTORNEY
170 SOUTH MAIN STREET
SUITE 1000
SALT LAKE CITY
UT
United States
Tel: 801-924-4105
(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
MOOSHERR, ERNEST, PATRICK Individual – CHIEF EXECUTIVE OFFICER 05/2018 < 5%
RAETHER, ERIC, DAVID Individual – PRESIDENT 05/2018 < 5%
ERN MICHIGAN, INC. Domestic Entity – MEMBER 05/2018 25-50%
ERN WISCONSIN, INC. Domestic Entity – MEMBER 05/2018 25-50%
MOOSHERR, ERNEST, PATRICK Individual ERN MICHIGAN, INC. MEMBER 05/2018 > 75%
RAETHER, ERIC, DAVID Individual ERN WISCONSIN, INC. MEMBER 05/2018 > 75%
MUEHL, DAVID, MICHAEL Individual ERN WISCONSIN, INC. MEMBER 05/2018 25-50%
ERN-CD ARIZONA Domestic Entity – MEMBER 06/2021 25-50%
WING, CHAD, FREDERICK Individual – VICE PRESIDENT 06/2021 < 5%
WING, CHAD, FREDERICK Individual ERN-CD ARIZONA MEMBER 06/2021 > 75%
BUCHANAN, MARK, GREGORY Individual – CHIEF COMPLIANCE OFFICER/COO 12/2023 < 5%

No. Employees, Historic

3015020202021202220232024202512 on 3/30/202012 on 6/30/202013 on 7/28/202013 on 7/28/202013 on 7/30/202013 on 10/28/202013 on 2/22/202113 on 3/31/202119 on 6/19/202120 on 3/29/202221 on 7/29/202222 on 7/29/202222 on 11/4/202222 on 11/4/202222 on 1/3/202322 on 3/9/202322 on 1/17/202421 on 1/23/202421 on 3/19/2024

RAUM, Historic

2B1B0202020212022202320242025589367065 on 3/30/2020589367065 on 6/30/2020606735396 on 7/28/2020606735396 on 7/28/2020606735396 on 7/30/2020606735396 on 10/28/2020606735396 on 2/22/2021716292217 on 3/31/2021716292217 on 6/19/20211173552713 on 3/29/20221173552713 on 7/29/20221173552713 on 7/29/20221173552713 on 11/4/20221173552713 on 11/4/20221075968949 on 1/3/20231075968949 on 3/9/20231075968949 on 1/17/20241075968949 on 1/23/20241280096449 on 3/19/2024

No. Clients, Historic

1,0005000202020212022202320242025437 on 3/30/2020437 on 6/30/2020456 on 7/28/2020456 on 7/28/2020456 on 7/30/2020456 on 10/28/2020456 on 2/22/2021477 on 3/31/2021477 on 6/19/2021804 on 3/29/2022804 on 7/29/2022804 on 7/29/2022804 on 11/4/2022804 on 11/4/2022883 on 1/3/2023883 on 3/9/2023883 on 1/17/2024883 on 1/23/2024929 on 3/19/2024

Holdings

From latest 13F, filed July 18th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ACCENTURE PLC IRELAND SHS CLASS A 994K 3K 0
ADOBE INC COM 888K 2K 0
ALGONQUIN PWR UTILS CORP COM 96K 16K 0
ALPHABET INC CAP STK CL A 3M 17K 0
ALPHABET INC CAP STK CL C 720K 4K 0
ALTRIA GROUP INC COM 341K 7K 0
AMAZON COM INC COM 4M 19K 0
AMERICAN CENTY ETF TR US SML CP VALU 5M 53K 0
AMERICAN CENTY ETF TR FOCUSED DYNAMIC 6M 63K 0
AMERICAN CENTY ETF TR DIVERSIFIED MU 697K 14K 0
AMERICAN CENTY ETF TR AVANTIS EMGMKT 10M 170K 0
AMERICAN ELEC PWR CO INC COM 206K 2K 0
AMERICAN EXPRESS CO COM 703K 3K 0
AMERIPRISE FINL INC COM 406K 951 0
APPLE INC COM 9M 42K 0
AT&T INC COM 233K 12K 0
BANK AMERICA CORP COM 876K 22K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 2M 5K 0
BLACKROCK INC COM 568K 721 0
BOEING CO COM 214K 1K 0
BROADCOM INC COM 874K 544 0
CAMDEN PPTY TR SH BEN INT 687K 6K 0
CHEVRON CORP NEW COM 1M 7K 0
CHIPOTLE MEXICAN GRILL INC COM 745K 12K 0
COSTCO WHSL CORP NEW COM 2M 2K 0
CREDIT ACCEP CORP MICH COM 1M 2K 0
CROWDSTRIKE HLDGS INC CL A 241K 630 0
DEERE & CO COM 1M 4K 0
DIMENSIONAL ETF TRUST INTL SMALL CAP E 1M 46K 0
DIMENSIONAL ETF TRUST CORE FIXED INCOM 4M 103K 0
DIMENSIONAL ETF TRUST US CORE EQUITY 2 971K 30K 0
DIMENSIONAL ETF TRUST US CORE EQT MKT 3M 91K 0
DIMENSIONAL ETF TRUST INTL CORE EQT MK 4M 145K 0
DIMENSIONAL ETF TRUST WORLD EX US CORE 9M 373K 0
DISNEY WALT CO COM 763K 8K 0
ELI LILLY & CO COM 1M 1K 0
EVOLENT HEALTH INC CL A 1M 60K 0
EXACT SCIENCES CORP COM 282K 7K 0
EXXON MOBIL CORP COM 1M 12K 0
FAIR ISAAC CORP COM 2M 1K 0
FIBROBIOLOGICS INC COM SHS 159K 32K 0
FIDELITY MERRIMACK STR TR TOTAL BD ETF 891K 20K 0
FIDELITY NATL INFORMATION SV COM 464K 6K 0
FIRST TR EXCH TRADED FD III RIVRFRNT DYN DEV 866K 14K 0
FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 2M 18K 0
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 380K 8K 0
FIRST TR EXCHANGE-TRADED FD MANAGD MUN ETF 13M 251K 0
FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 3M 34K 0
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 258K 6K 0
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 3M 73K 0
FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 6M 143K 0
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 3M 71K 0
FIRST TR VALUE LINE DIVID IN SHS 3M 68K 0
FISERV INC COM 631K 4K 0
FORD MTR CO DEL COM 742K 59K 0
GALLAGHER ARTHUR J & CO COM 602K 2K 0
GENERAL DYNAMICS CORP COM 379K 1K 0
GLOBAL X FDS CYBRSCURTY ETF 1M 37K 0
GXO LOGISTICS INCORPORATED COMMON STOCK 228K 5K 0
HARTFORD FDS EXCHANGE TRADED MUN OPORTUNITE 8M 205K 0
HARTFORD FDS EXCHANGE TRADED SCHRDRS TAX BD 8M 412K 0
HCA HEALTHCARE INC COM 601K 2K 0
HOME DEPOT INC COM 1M 3K 0
HONEYWELL INTL INC COM 1M 5K 0
INTERNATIONAL BUSINESS MACHS COM 278K 2K 0
INVESCO EXCH TRADED FD TR II S&P MIDCP LOW 468K 8K 0
INVESCO EXCH TRADED FD TR II S&P 500 REVENUE 36M 385K 0
INVESCO EXCH TRD SLF IDX FD RUSL 2000 DYNM 592K 16K 0
INVESCO EXCH TRD SLF IDX FD RUSL 1000 DYNM 19M 368K 0
INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 3M 40K 0
INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 3M 32K 0
INVESCO EXCHANGE TRADED FD T S&P SMLCP MOMENT 632K 11K 0
INVESCO QQQ TR UNIT SER 1 317K 661 0
ISHARES INC MSCI EM ASIA ETF 2M 32K 0
ISHARES INC MSCI EMRG CHN 1M 18K 0
ISHARES TR MSCI EMG MKT ETF 2M 38K 0
ISHARES TR RUS 1000 GRW ETF 387K 1K 0
ISHARES TR MSCI USA MMENTM 916K 5K 0
ISHARES TR CORE S&P500 ETF 2M 4K 0
ISHARES TR ESG AW MSCI EAFE 668K 8K 0
ISHARES TR CORE S&P US VLU 807K 9K 0
ISHARES TR MSCI USA QLT FCT 11M 65K 0
ISHARES TR MSCI EAFE MIN VL 354K 5K 0
ISHARES TR MSCI INDIA SM CP 2M 22K 0
ISHARES TR CORE MSCI EAFE 10M 135K 0
ISHARES TR CORE S&P MCP ETF 3M 43K 0
ISHARES TR CORE S&P SCP ETF 6M 55K 0
ISHARES TR ESG AWR MSCI USA 882K 7K 0
ISHARES TR 0-5YR HI YL CP 317K 8K 0
ISHARES TR GLOBAL REIT ETF 10M 434K 0
ISHARES TR MSCI EAFE ETF 6M 77K 0
ISHARES TR CRE U S REIT ETF 10M 180K 0
ISHARES TR EAFE GRWTH ETF 252K 2K 0
J P MORGAN EXCHANGE TRADED F MUNICIPAL ETF 2M 33K 0
J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM 289K 5K 0
J P MORGAN EXCHANGE TRADED F ULTRA SHT MUNCPL 2M 34K 0
J P MORGAN EXCHANGE TRADED F CORE PLUS BD ETF 8M 168K 0
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 1M 19K 0
JOHN HANCOCK EXCHANGE TRADED MLTFCTR LRG CAP 3M 40K 0
JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 13M 228K 0
JOHNSON & JOHNSON COM 1M 7K 0
JPMORGAN CHASE & CO. COM 1M 6K 0
KLA CORP COM NEW 773K 937 0
MCDONALDS CORP COM 399K 2K 0
MCKESSON CORP COM 232K 397 0
MERCK & CO INC COM 318K 3K 0
META PLATFORMS INC CL A 927K 2K 0
MGE ENERGY INC COM 205K 3K 0
MICRON TECHNOLOGY INC COM 203K 2K 0
MICROSOFT CORP COM 6M 12K 0
NETFLIX INC COM 769K 1K 0
NORTHROP GRUMMAN CORP COM 466K 1K 0
NVIDIA CORPORATION COM 6M 46K 0
ORACLE CORP COM 2M 13K 0
PACER FDS TR DEVELOPED MRKT 403K 13K 0
PACER FDS TR US CASH COWS 100 2M 41K 0
PEPSICO INC COM 1M 6K 0
PHILIP MORRIS INTL INC COM 444K 4K 0
PIMCO ETF TR MULTISECTOR BD 2M 93K 0
PIMCO ETF TR INTER MUN BD ACT 3M 54K 0
PINNACLE WEST CAP CORP COM 979K 13K 0
PROCTER AND GAMBLE CO COM 692K 4K 0
PUTNAM ETF TRUST FOCUSED LAR CAP 4M 119K 0
ROCKWELL AUTOMATION INC COM 239K 869 0
S&P GLOBAL INC COM 776K 2K 0
SCHWAB STRATEGIC TR US LRG CAP ETF 438K 7K 0
SELECT SECTOR SPDR TR SBI INT-UTILS 604K 9K 0
SELECT SECTOR SPDR TR SBI MATERIALS 884K 10K 0
SELECT SECTOR SPDR TR ENERGY 509K 6K 0
SPDR INDEX SHS FDS PORTFOLIO EMG MK 15M 390K 0
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 22M 618K 0
SPDR S&P 500 ETF TR TR UNIT 1M 2K 0
SPDR SER TR PORTFLI TIPS ETF 5M 210K 0
SPDR SER TR S&P 600 SMCP GRW 6M 76K 0
SPDR SER TR S&P 600 SMCP VAL 2M 26K 0
SPDR SER TR PORTFOLIO AGRGTE 6M 229K 0
SPDR SER TR PRTFLO S&P500 GW 32M 394K 0
SPDR SER TR PORTFOLIO S&P600 910K 22K 0
SPDR SER TR S&P 400 MDCP VAL 16M 216K 0
SPDR SER TR S&P OILGAS EXP 457K 3K 0
SPDR SER TR PORTFOLIO S&P500 4M 65K 0
SPDR SER TR PRTFLO S&P500 VL 24M 486K 0
SPDR SER TR BBG CONV SEC ETF 391K 5K 0
SPDR SER TR PORTFOLIO S&P400 674K 13K 0
SPDR SER TR S&P 400 MDCP GRW 9M 103K 0
STARBUCKS CORP COM 376K 5K 0
STRYKER CORPORATION COM 2M 4K 0
T ROWE PRICE ETF INC CAP APPRECIATION 450K 14K 0
TESLA INC COM 3M 14K 0
TEXAS INSTRS INC COM 498K 3K 0
THERMO FISHER SCIENTIFIC INC COM 1M 2K 0
TRANE TECHNOLOGIES PLC SHS 615K 2K 0
UNION PAC CORP COM 1M 5K 0
UNITEDHEALTH GROUP INC COM 1M 3K 0
VANECK ETF TRUST SEMICONDUCTR ETF 2M 7K 0
VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 38M 115K 0
VANGUARD INDEX FDS SM CP VAL ETF 505K 3K 0
VANGUARD INDEX FDS TOTAL STK MKT 545K 2K 0
VANGUARD INDEX FDS SMALL CP ETF 514K 2K 0
VANGUARD INDEX FDS SML CP GRW ETF 860K 3K 0
VANGUARD INDEX FDS GROWTH ETF 9M 23K 0
VANGUARD INDEX FDS VALUE ETF 3M 18K 0
VANGUARD INDEX FDS MCAP VL IDXVIP 612K 4K 0
VANGUARD INDEX FDS MID CAP ETF 2M 9K 0
VANGUARD INDEX FDS MCAP GR IDXVIP 2M 9K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 6M 11K 0
VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 6M 62K 0
VANGUARD SPECIALIZED FUNDS DIV APP ETF 1M 6K 0
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 21M 420K 0
VANGUARD WHITEHALL FDS HIGH DIV YLD 385K 3K 0
VERIZON COMMUNICATIONS INC COM 276K 7K 0
VICTORY PORTFOLIOS II SHORT TRM BD ETF 14M 284K 0
VISA INC COM CL A 1M 5K 0
WALMART INC COM 447K 7K 0
WELLS FARGO CO NEW COM 437K 7K 0
WISDOMTREE TR EMER MKT HIGH FD 652K 15K 0
ZILLOW GROUP INC CL C CAP STK 473K 10K 0