JOHN F SUBY WEALTH MANAGEMENT LLC
Adviser information for JOHN F SUBY WEALTH MANAGEMENT LLC last updated from Form ADV on March 12th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 202 | $2.0B |
| Non-Discretionary | 5 | $32.3M |
| Total | 207 | $2.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 123 | $82.1M |
| HNW Individuals | 63 | $247.9M |
| 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 | 5 | $32.3M |
| Charitable organizations | 8 | $312.5M |
| 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 | $1.3B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-70434 |
|---|---|
| SEC ERA File Number | 801-70434 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 150824 |
| Legal Entity Identifier | None |
Principal Office
2901 WEST BELTLINE HWYSUITE 201
MADISON
WI
United States
Monday - Friday, 8AM-5PM
Tel: 608-273-3100, Fax: 608-273-3101
Chief Compliance Officer
MATTHEW SUBY
2901 WEST BELTLINE HWY
SUITE 201
MADISON
WI
United States
Tel:
608-273-3100
Fax:
608-273-3101
M****@*********M
(Full email address available in API data)
Regulatory Contact
MARK J. DONALDSON, CFA
COMPLIANCE CONSULTANT
P.O. BOX 7269
KANSAS CITY
MO
United States
Tel:
913-707-7366
M*********@**********************M
(Full email address available in API data)
Industry Affiliates
| JOHN F. SUBY & ASSOCIATES, S.C. | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JOHN F SUBY & ASSOCIATES S.C. | Domestic Entity | – | MANAGING MEMBER | 06/2009 | > 75% |
| SUBY, MATTHEW, JOHN | Individual | – | CCO | 03/2019 | < 5% |
| SUBY, MATTHEW, JOHN | Individual | JOHN F SUBY & ASSOCIATES S.C. | SHAREHOLDER | 06/2023 | 25-50% |
| SUBY, JOHN, FREDERIK | Individual | JOHN F SUBY & ASSOCIATES S.C. | SHAREHOLDER | 06/2023 | 25-50% |
| BUTRYMOWICZ, AMY, ELIZABETH | Individual | JOHN F SUBY & ASSOCIATES S.C. | SHAREHOLDER | 06/2023 | 25-50% |
| Slipka, Sarah, Elizabeth | Individual | JOHN F SUBY & ASSOCIATES S.C. | SHAREHOLDER | 06/2023 | 25-50% |