KELLOGG ASSET MANAGEMENT, LLC
Adviser information for KELLOGG ASSET MANAGEMENT, LLC last updated from Form ADV on March 20th, 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 | 11 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 11 |
| 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 | 114 | $2.5B |
| Non-Discretionary | 1 | $6.8M |
| Total | 115 | $2.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $1.3B |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $1.0B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $6.8M |
| Other investment advisers | <5 | $235.3M |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSELECTION OF THIRD-PARTY MUTUAL FUNDS TO BUILD DIVERSIFIED MODEL PORTFOLIOS. |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-70113 |
|---|---|
| SEC ERA File Number | 801-70113 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 150031 |
| Legal Entity Identifier | 26-4037944 |
Principal Office
200 NORTH ADAMS STREETGREEN BAY
WI
United States
Monday - Friday, 8 A.M. - 5 P.M. CST
Tel: 800-236-5215, Fax: 920-433-3140
Chief Compliance Officer
ANTHONY P PECORA
CHIEF COMPLIANCE OFFICER
525 WEST MONROE STREET
CHICAGO
IL
United States
Tel:
312-544-4609
Fax:
920-327-6175
A*************@*****************M
(Full email address available in API data)
Regulatory Contact
MICHAEL R. HOCHHOLZER
MANAGING AGENT
100 W. WISCONSIN AVE
NEENAH
WI
United States
Tel:
920-727-5346
M**************@*****************M
(Full email address available in API data)
Industry Affiliates
| ASSOCIATED BANK | Banking or thrift institution |
| ASSOCIATED INVESTMENT SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| ASSOCIATED TRUST COMPANY | Trust companyPension consultantSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HILGENDORF, MARK, PAUL | Individual | – | MANAGER | 01/2009 | < 5% |
| FRY, PATRICK, ANDREW | Individual | – | MANAGER | 01/2009 | < 5% |
| BARDEN, CHAN, C.M. | Individual | – | MANAGER | 08/2013 | < 5% |
| ASSOCIATED TRUST COMPANY | Domestic Entity | – | SOLE MEMBER | 05/2016 | > 75% |
| PECORA, ANTHONY, PHILIP | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2017 | < 5% |
| ASSOCIATED BANK, N.A. | Domestic Entity | ASSOCIATED TRUST COMPANY, N.A. | SOLE SHAREHOLDER | 05/2016 | > 75% |
| ASSOCIATED BANC-CORP | Domestic Entity | ASSOCIATED BANK, N.A. | SOLE SHAREHOLDER | 01/1995 | > 75% |
| HOCHHOLZER, MICHAEL, ROBERT | Individual | – | MANAGING AGENT | 07/2021 | < 5% |