WEIS ADVISORY
WEIS ADVISORY, LLC Legal Name
Adviser information for WEIS ADVISORY last updated from Form ADV on February 23rd, 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 | Iowa, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 538 | $146.8M |
| Non-Discretionary | 48 | $10.8M |
| Total | 586 | $157.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 447 | $64.4M |
| HNW Individuals | 92 | $93.2M |
| 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 | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 157.6M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WEIS ADVISORY WRAP FEE PROGRAM | WEIS ADVISORY |
Identifiers
| SEC RIA File Number | 801-123482 |
|---|---|
| SEC ERA File Number | 801-123482 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 217517 |
| Legal Entity Identifier | None |
Principal Office
16400 SHERIDAN AVENUECLIVE
IA
United States
Monday - Friday, 8-5
Tel: (888) 978-2082, Fax: (515) 978-2087
Chief Compliance Officer
THOMAS WEISSENBURGER
PRESIDENT
16400 SHERIDAN AVENUE
CLIVE
IA
United States
Tel:
(888) 978-2082
Fax:
(515) 978-2087
T****************@******M
(Full email address available in API data)
Regulatory Contact
DAVID OLBERDING
FINANCIAL ADVISOR
16400 SHERIDAN AVENUE
CLIVE
IA
United States
Tel:
(888) 978-2082
Fax:
(515) 978-2087
D**************@******M
(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 |
|---|---|---|---|---|---|
| WEISSENBURGER, THOMAS, MICHAEL | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 04/2015 | > 75% |