THE APPLETON GROUP, LLC
Adviser information for THE APPLETON GROUP, LLC last updated from Form ADV on March 30th, 2023. 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 | 7 |
---|---|
Investment Advisory/Research | 5 |
Registered Broker-Dealer Representatives | 0 |
Registered State Investment Advisers | 5 |
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 | 242 | $194.1M |
Non-Discretionary | 0 | $0 |
Total | 242 | $194.1M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 197 | $64.3M |
HNW Individuals | 37 | $68.4M |
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 | 8 | $61.3M |
Other | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 1 |
No. of Financial Planning Clients | 101-250 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPublication of periodicals or newslettersEducational seminars/workshops |
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Compensation | % of AUM |
Principal Office
100 W. LAWRENCE STSUITE 306
APPLETON
WI
United States
Monday - Friday, 8:30 AM - 4:00 PM
Tel: 920/993-7727, Fax: 920/273-2245
Websites
Chief Compliance Officer
KAREN M ANDERSON
COO, CCO
100 W, LAWRENCE ST.
SUITE 306
APPLETON
WI
United States
Tel:
920-993-7727
Fax:
920-273-2245
K********@**********************M
(Full email address available in API data)
Regulatory Contact
MARK C SCHEFFLER
CEO, MANAGING MEMBER
100 W. LAWRENCE ST.
SUITE 306
APPLETON
WI
United States
Tel:
920/993-7727
Fax:
920/273-2245
M*********@**********************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 |
---|---|---|---|---|---|
SCHEFFLER, MARK, CHRISTOPHER | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2017 | 25-50% |
HELLER, LARRY, L | Individual | – | MINORITY OWNER | 12/2017 | < 5% |
SCHNEIDER, DIANE, O | Individual | – | MINORITY OWNER | 12/2017 | < 5% |
ANDERSON, KAREN, MARIE | Individual | – | CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER | 12/2017 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed November 8th, 2023 for period ending September 30th, 2023
Name | Class | Value $USD | # Shares | Private Fund |
---|---|---|---|---|
SCHWAB STRATEGIC TR | US DIVIDEND EQ | 16M | 220K | The Appleton Group |
SCHWAB STRATEGIC TR | US AGGREGATE B | 2M | 44K | The Appleton Group |
ISHARES TR | CORE S&P MCP ETF | 1M | 4K | The Appleton Group |
ISHARES TR | RUS 1000 VAL ETF | 973K | 6K | The Appleton Group |
SPDR S&P 500 ETF TR | TR UNIT | 967K | 2K | The Appleton Group |
SCHWAB STRATEGIC TR | US LCAP GR ETF | 842K | 12K | The Appleton Group |
ISHARES TR | RUS 2000 VAL ETF | 656K | 5K | The Appleton Group |
SCHWAB STRATEGIC TR | US SML CAP ETF | 598K | 14K | The Appleton Group |
PROSHARES TR | ULTRASHRT S&P500 | 474K | 13K | The Appleton Group |
MARATHON PETE CORP | COM | 454K | 3K | The Appleton Group |
PROSHARES TR | ULTSHT RUSS2000 | 389K | 25K | The Appleton Group |
EATON CORP PLC | SHS | 389K | 2K | The Appleton Group |
META PLATFORMS INC | CL A | 359K | 1K | The Appleton Group |
HEALTHEQUITY INC | COM | 356K | 5K | The Appleton Group |
TJX COS INC NEW | COM | 356K | 4K | The Appleton Group |
SPLUNK INC | COM | 331K | 2K | The Appleton Group |
SEAGATE TECHNOLOGY HLDNGS PL | ORD SHS | 296K | 4K | The Appleton Group |
ISHARES TR | MSCI KLD400 SOC | 286K | 4K | The Appleton Group |
UNIVERSAL DISPLAY CORP | COM | 285K | 2K | The Appleton Group |
WILEY JOHN & SONS INC | CL A | 281K | 8K | The Appleton Group |
GARMIN LTD | SHS | 272K | 3K | The Appleton Group |
CVS HEALTH CORP | COM | 271K | 4K | The Appleton Group |
SCANSOURCE INC | COM | 266K | 9K | The Appleton Group |
SOUTHERN CO | COM | 253K | 4K | The Appleton Group |
UIPATH INC | CL A | 252K | 15K | The Appleton Group |
SELECT SECTOR SPDR TR | ENERGY | 245K | 3K | The Appleton Group |
NICOLET BANKSHARES INC | COM | 224K | 3K | The Appleton Group |