Hedge Fund Database

CLIENT FIRST INVESTMENT MANAGEMENT LLC

Adviser information for CLIENT FIRST INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 25th, 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 Wisconsin, United States

Employees

Total Number of Employees 15
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 8
Licensed Agents of an Insurance Company 3
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 479 $126.2M
Non-Discretionary 0 $0
Total 479 $126.2M

Clients

Type Number RAUM
Individuals 468 $111.5M
HNW Individuals 7 $11.0M
Banking or thrift institutions 0 $0
Investment companies 1 $3.5M
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations <5 $225,000
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 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 65
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesCONSULTING SERVICES, ASSET ALLOCATION AND INVESTMENT SELECTION TO PLAN PARTICIPANTS
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 122.7M
Portfolio Manager to Program Sponsor
CLIENT FIRST WRAP FEE PROGRAM CLIENT FIRST WRAP FEE PROGRAM

Identifiers

SEC RIA File Number 801-123113
SEC ERA File Number 801-123113
SEC CIK Numbers 2018284
SEC CRD Numbers 282600
Legal Entity Identifier None

Principal Office

215 N. MAIN STREET
SUITE 1040
WEST BEND
WI
United States
Monday - Friday, 8AM TO 5PM
Tel: 262-335-1700, Fax: 262-335-1713

Websites

www.linkedin.com/company/client-first-tax-and-wealth-advisors/ twitter.com/clientf1rst www.facebook.com/clientf1rst/ www.instagram.com/clientf1rst/ www.youtube.com/channel/ucrytjnrkhpi6diqoxwgkdaq?view_as=subscriber www.clientfirsttaxandwealth.com/ www.my401kguide.com

Chief Compliance Officer

PAUL ZARLING
MANAGING PARTNER, HEAD OF VISION AND TRACTION
215 N. MAIN STREET
SUITE 1040
WEST BEND
WI
United States
Tel: 262-335-1700
Fax: 262-335-1713
(Full email address available in API data)

Regulatory Contact

JUSTIN W. KRUEGER
PARTNER, HEAD OF FINANCIAL PLANNING
215 N. MAIN STREET
SUITE 1040
WEST BEND
WI
United States
Tel: 262-335-1700
(Full email address available in API data)

Industry Affiliates

CLIENT FIRST INSURANCE SERVICES LLC Insurance company or agency

Private Funds

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

Control Persons

Name Type Entity Title Since Ownership
KRUEGER, JUSTIN, WAYNE Individual ROCK POINT PARTNERS, LLC MANAGING MEMBER 12/2015 25-50%
KRUEGER, JUSTIN, WAYNE Individual – PARTNER, HEAD OF FINANCIAL PLANNING 12/2015 < 5%
ROCK POINT PARTNERS, LLC Domestic Entity – MANAGING PARTNER 12/2015 > 75%
Zarling, David Individual ROCK POINT PARTNERS, LLC MANAGING MEMBER 12/2015 25-50%
Zarling, Paul Individual ROCK POINT PARTNERS, LLC MANAGING MEMBER 12/2015 25-50%
Zarling, Paul Individual – MANAGING PARTNER & CHIEF COMPLIANCE OFFICER 03/2017 < 5%
Zarling, David, Frederic Individual – PARTNER, HEAD OF INVESTMENT STRATEGY AND RESEARCH 03/2017 < 5%

No. Employees, Historic

201002021202220232024202512 on 12/23/202112 on 1/4/202212 on 1/27/202212 on 2/1/202212 on 3/2/202213 on 5/11/202213 on 5/25/202214 on 7/25/202214 on 10/11/202215 on 12/1/202215 on 12/1/202216 on 12/14/202216 on 3/21/202315 on 5/15/202315 on 8/7/202315 on 3/25/2024

RAUM, Historic

200M100M020212022202320242025125750000 on 12/23/2021125750000 on 1/4/2022125750000 on 1/27/2022125750000 on 2/1/2022125750000 on 3/2/2022125750000 on 5/11/2022125750000 on 5/25/2022125750000 on 7/25/2022125750000 on 10/11/2022125000000 on 12/1/2022125000000 on 12/1/2022125000000 on 12/14/2022128200000 on 3/21/2023128200000 on 5/15/2023128200000 on 8/7/2023126177235 on 3/25/2024

No. Clients, Historic

500250020212022202320242025407 on 12/23/2021407 on 1/4/2022407 on 1/27/2022407 on 2/1/2022407 on 3/2/2022407 on 5/11/2022407 on 5/25/2022407 on 7/25/2022407 on 10/11/2022416 on 12/1/2022416 on 12/1/2022416 on 12/14/2022481 on 3/21/2023481 on 5/15/2023481 on 8/7/2023479 on 3/25/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
BANK MONTREAL MEDIUM 2X LEVERAGED 1M 19K –
DIREXION SHS ETF TR DIREXION 2X SHAR 297K 8K –
DIREXION SHS ETF TR DAILY GOOGL 2X S 881K 19K –
DIREXION SHS ETF TR DAILY MSFT 2X SH 291K 6K –
EA SERIES TRUST ALPHA ARCH 1-3 6M 60K –
ELI LILLY & CO COM 2M 2K –
FIRST TR EXCHANGE-TRADED FD RBA INDL ETF 1M 22K –
FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 311K 5K –
FIRST TR EXCHNG TRADED FD VI SKYBRIDGE CRYPTO 1M 106K –
GLOBAL X FDS GLOBAL X COPPER 619K 14K –
GRANITESHARES ETF TR 2X LONG NVDA DAI 1M 21K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 313K 6K –
JANUS DETROIT STR TR B-BBB CLO ETF 3M 65K –
MICROSOFT CORP COM 2M 4K –
PACER FDS TR PAC ASSET FLTG 8M 174K –
PGIM ETF TR PGIM ULTRA SH BD 890K 18K –
PROSHARES TR PSHS ULT SEMICDT 4M 31K –
PROSHARES TR PSHS ULTRA QQQ 5M 49K –
PROSHARES TR K1 FRE CRD OIL 600K 12K –
PROSHARES TR ULTRA CONS DISCR 358K 10K –
PROSHARES TR PSHS ULT S&P 500 26M 309K –
SERIES PORTFOLIOS TR ADAPTIV SELECT 58M 2M –
SPDR SER TR S&P HOMEBUILD 2M 15K –
SPDR SER TR BLOOMBERG 1-3 MO 2M 18K –
VISA INC COM CL A 266K 1K –