NEUENSCHWANDER ASSET MANAGEMENT, LLC
Adviser information for NEUENSCHWANDER ASSET MANAGEMENT, LLC last updated from Form ADV on March 22nd, 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 | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 507 | $130.3M |
| Non-Discretionary | 0 | $0 |
| Total | 507 | $130.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 151 | $66.3M |
| HNW Individuals | 26 | $64.0M |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $193 |
| 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 | 20 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-124791 |
|---|---|
| SEC ERA File Number | 801-124791 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 125179 |
| Legal Entity Identifier | None |
Principal Office
4893 LARSON BEACH RDMCFARLAND
WI
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 608-838-3330, Fax: 608-838-3336
Chief Compliance Officer
JAMES V. MURPHY
CHIEF COMPLIANCE OFFICER
4893 LARSON BEACH RD
MCFARLAND
WI
United States
Tel:
608-838-3330
Fax:
608-838-3336
J**@**************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 |
|---|---|---|---|---|---|
| NEUENSCHWANDER, ROY, ERNEST | Individual | – | OWNER | 12/2015 | 5-10% |
| MURPHY, JAMES, VINCENT | Individual | – | CHIEF COMPLIANCE OFFICER, OWNER | 11/2010 | 25-50% |
| NEUENSCHWANDER, TIMOTHY, JAMES | Individual | – | MANAGING MEMBER, OWNER | 12/2015 | 50-75% |