CONCEPTUAL FINANCIAL ADVISORS, LLC
Adviser information for CONCEPTUAL FINANCIAL ADVISORS, LLC last updated from Form ADV on January 11th, 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 | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 3 |
| 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 | 496 | $106.9M |
| Non-Discretionary | 224 | $31.4M |
| Total | 720 | $138.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 471 | $73.6M |
| HNW Individuals | 23 | $46.5M |
| 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 | 6 | $17.3M |
| Charitable organizations | <5 | $416,003 |
| 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 | $527,115 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 10 |
| 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 servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 104.3M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CONCEPTUAL FINANCIAL ADVISORS INVESTMENT MANAGEMENT | SEI PRIVATE TRUST |
| CONCEPTUAL FINANCIAL ADVISORS, LLC | ASSETMARK |
Identifiers
| SEC RIA File Number | 801-123428 |
|---|---|
| SEC ERA File Number | 801-123428 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 167513 |
| Legal Entity Identifier | None |
Principal Office
2561 E. CALUMET ST.APPLETON
WI
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 920-731-9500, Fax: 920-731-9504
Chief Compliance Officer
CHAD NEHRING
MEMBER
2561 E. CALUMET ST.
APPLETON
WI
United States
Tel:
920-731-9500
Fax:
920-731-9504
C***@*****************M
(Full email address available in API data)
Industry Affiliates
| CONCEPTUAL FINANCIAL PLANNING, 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 |
|---|---|---|---|---|---|
| NEHRING, CHAD, LEE | Individual | – | MEMBER AND CHIEF COMPLIANCE OFFICER | 05/2011 | > 75% |