Hedge Fund Database

KOTYS WEALTH PROFESSIONALS

TKG ADVISORS, LLC Legal Name

Adviser information for KOTYS WEALTH PROFESSIONALS last updated from Form ADV on March 8th, 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 Indiana, United States

Employees

Total Number of Employees 6
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 3
Licensed Agents of an Insurance Company 2
No. of Firms/People that Solicit Clients 2

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 727 $223.4M
Non-Discretionary 0 $0
Total 727 $223.4M

Clients

Type Number RAUM
Individuals 152 $41.5M
HNW Individuals 117 $162.0M
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 <5 $2.7M
Charitable organizations <5 $16.9M
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 <5 $340,814
Other 0 $0
Type Number
No. of Non-RAUM Clients 1
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 businessesPension consulting services
Compensation % of AUMHourly chargesPERCENTAGE RETIREMENT PLAN ASSETS UNDER ADVISEMENT

Identifiers

SEC RIA File Number 801-118738
SEC ERA File Number 801-118738
SEC CIK Numbers 1843275
SEC CRD Numbers 168156
Legal Entity Identifier None

Principal Office

1111 GLENDALE BLVD
SUITE 105
VALPARAISO
IN
United States
Monday - Friday, 8:30 - 4:00 M-TH, 8:30-12 ON FRIDAY
Tel: 219-465-6924, Fax: 219-465-6589

Websites

www.facebook.com/kotyswealthprofessionals www.linkedin.com/company/kotyswealthprofessionals www.kotyswealthpro.com

Chief Compliance Officer

WESLEY M. KOTYS
MANAGING MEMBER, CHIEF EXECUTIVE OFFICER
1111 GLENDALE BLVD
SUITE 105
VALPARAISO
IN
United States
Tel: 219-465-6924
Fax: 219-465-6589
(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
KOTYS, WESLEY, MICHAEL Individual – MANAGING MEMBER/CHIEF EXECUTIVE OFFER//CHIEF COMPLIANCE OFFICER 09/2013 > 75%
KOTYS, SARAH, ELIZABETH Individual – CHIEF FINANCIAL OFFICER 11/2014 < 5%
MYERS, MEGAN, MAY Individual – CHIEF OPERATIONS OFFICER 12/2021 < 5%
WESLEY M. KOTYS REVOCABLE TRUST DATED APRIL 5, 2023 Domestic Entity – OWNER 04/2023 > 75%
KOTYS, WESLEY, MICHAEL Individual WESLEY M. KOTYS REVOCABLE TRUST DATED APRIL 5, 2023 SOLE TRUSTEE 04/2023 > 75%

No. Employees, Historic

10502020202120222023202420256 on 4/15/20206 on 6/29/20206 on 10/29/20206 on 3/18/20216 on 3/19/20216 on 10/19/20216 on 10/27/20216 on 10/28/20216 on 3/27/20226 on 4/1/20226 on 4/5/20226 on 11/4/20226 on 12/12/20225 on 3/21/20235 on 4/11/20235 on 9/26/20235 on 11/13/20236 on 3/6/20246 on 3/8/2024

RAUM, Historic

300M150M0202020212022202320242025101552666 on 4/15/2020101552666 on 6/29/2020101552666 on 10/29/2020136211764 on 3/18/2021136211764 on 3/19/2021136211764 on 10/19/2021136211764 on 10/27/2021136211764 on 10/28/2021181493871 on 3/27/2022181493871 on 4/1/2022181493871 on 4/5/2022181493871 on 11/4/2022181493871 on 12/12/2022188995881 on 3/21/2023188995881 on 4/11/2023188995881 on 9/26/2023188995881 on 11/13/2023223430054 on 3/6/2024223430054 on 3/8/2024

No. Clients, Historic

3001500202020212022202320242025231 on 4/15/2020231 on 6/29/2020231 on 10/29/2020254 on 3/18/2021254 on 3/19/2021254 on 10/19/2021254 on 10/27/2021254 on 10/28/2021268 on 3/27/2022268 on 4/1/2022268 on 4/5/2022268 on 11/4/2022268 on 12/12/2022268 on 3/21/2023268 on 4/11/2023268 on 9/26/2023268 on 11/13/2023269 on 3/6/2024269 on 3/8/2024

Holdings

From latest 13F, filed July 25th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ADOBE INC COM 321K 578 –
AFLAC INC COM 2M 25K –
ALLY FINL INC COM 2M 49K –
ALPHABET INC CAP STK CL C 5M 27K –
ALPS ETF TR ALERIAN MLP 4M 76K –
AMAZON COM INC COM 1M 6K –
AMERICAN ELEC PWR CO INC COM 1M 13K –
AMERICAN EXPRESS CO COM 2M 8K –
APPLE INC COM 572K 3K –
AUTOMATIC DATA PROCESSING IN COM 2M 9K –
BROADCOM INC COM 4M 2K –
CAPITAL GROUP CORE EQUITY ET SHS CREATION UNI 506K 16K –
CAPITAL GROUP INTL FOCUS EQT SHS CREATION UNI 6M 229K –
CAPITAL ONE FINL CORP COM 4M 29K –
CATERPILLAR INC COM 1M 4K –
CELANESE CORP DEL COM 983K 7K –
CHEVRON CORP NEW COM 2M 16K –
CHUBB LIMITED COM 466K 2K –
CONSTELLATION ENERGY CORP COM 4M 21K –
DEERE & CO COM 528K 1K –
DELL TECHNOLOGIES INC CL C 916K 7K –
EOG RES INC COM 446K 4K –
FIRST TR EXCH TRADED FD III FT VEST SMID 236K 11K –
FIRST TR EXCH TRADED FD III INSTL PFD SECS 4M 237K –
FIRST TR EXCHANGE-TRADED ALP MID CAP VAL FD 251K 5K –
FIRST TR EXCHANGE-TRADED FD FT VEST S&P 500 3M 66K –
FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 773K 13K –
FIRST TR EXCHANGE-TRADED FD FT VEST RIS 433K 19K –
GENERAL DYNAMICS CORP COM 2M 8K –
GOLDMAN SACHS GROUP INC COM 506K 1K –
HOME DEPOT INC COM 1M 3K –
IDEXX LABS INC COM 248K 509 –
ILLINOIS TOOL WKS INC COM 2M 9K –
INNOVATOR ETFS TRUST EQUITY DEF PROTN 214K 8K –
INTERNATIONAL BUSINESS MACHS COM 1M 6K –
INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 502K 8K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL IND 3M 74K –
INVESCO EXCHANGE TRADED FD T DORSEY WRIGHT MO 422K 4K –
INVESCO QQQ TR UNIT SER 1 7M 14K –
ISHARES INC MSCI EURZONE ETF 6M 120K –
ISHARES TR CORE S&P SCP ETF 4M 34K –
ISHARES TR EAFE VALUE ETF 251K 5K –
ISHARES TR MSCI ACWI ETF 314K 3K –
ISHARES TR CORE S&P TTL STK 2M 20K –
ISHARES TR MSCI INTL QUALTY 321K 8K –
ISHARES TR MSCI INTL VLU FT 244K 9K –
ISHARES TR MSCI USA MMENTM 420K 2K –
ISHARES TR MSCI USA SZE FT 264K 2K –
ISHARES TR MSCI USA QLT FCT 305K 2K –
JPMORGAN CHASE & CO. COM 1M 5K –
KLA CORP COM NEW 517K 627 –
LAM RESEARCH CORP COM 5M 4K –
LENNAR CORP CL A 242K 2K –
MADISON COVERED CALL & EQUIT COM 137K 18K –
MARSH & MCLENNAN COS INC COM 2M 10K –
MCDONALDS CORP COM 295K 1K –
MERCK & CO INC COM 2M 17K –
META PLATFORMS INC CL A 607K 1K –
MICROCHIP TECHNOLOGY INC. COM 559K 6K –
MICROSOFT CORP COM 998K 2K –
NIKE INC CL B 2M 20K –
NORDIC AMERICAN TANKERS LIMI COM 44K 11K –
NVIDIA CORPORATION COM 5M 38K –
OCCIDENTAL PETE CORP COM 532K 8K –
PALO ALTO NETWORKS INC COM 334K 986 –
PELOTON INTERACTIVE INC CL A COM 51K 15K –
PFIZER INC COM 2M 75K –
PROLOGIS INC. COM 2M 20K –
PUBLIC STORAGE OPER CO COM 270K 940 –
QUALCOMM INC COM 2M 10K –
QUANTA SVCS INC COM 350K 1K –
SPDR INDEX SHS FDS PORTFOLIO EMG MK 382K 10K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 2M 46K –
SPDR INDEX SHS FDS GLB NAT RESRCE 308K 6K –
SPDR S&P 500 ETF TR TR UNIT 15M 27K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 6M 11K –
SPDR SER TR PORTFOLI S&P1500 5M 71K –
SPDR SER TR PORTFOLIO AGRGTE 1M 47K –
SPDR SER TR BLOOMBERG 1-3 MO 13M 138K –
SPDR SER TR PORTFOLIO S&P400 1M 24K –
SPDR SER TR PORTFOLIO S&P600 853K 21K –
STEEL DYNAMICS INC COM 535K 4K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 1M 9K –
TESLA INC COM 1M 7K –
TRACTOR SUPPLY CO COM 484K 2K –
TRANE TECHNOLOGIES PLC SHS 4M 13K –
VANGUARD INDEX FDS TOTAL STK MKT 1M 4K –
VANGUARD INDEX FDS VALUE ETF 10M 59K –
VANGUARD INDEX FDS MID CAP ETF 203K 839 –
VANGUARD INDEX FDS S&P 500 ETF SHS 1M 3K –
VANGUARD WORLD FD INF TECH ETF 228K 395 –
VERTEX PHARMACEUTICALS INC COM 300K 640 –
WASTE MGMT INC DEL COM 2M 10K –
WILLIAMS COS INC COM 3M 59K –
WORKDAY INC CL A 277K 1K –