ASSOCIATED INVESTMENT SERVICES, INC.
Adviser information for ASSOCIATED INVESTMENT SERVICES, INC. last updated from Form ADV on March 27th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Wisconsin, United States |
Employees
| Total Number of Employees | 62 |
|---|---|
| Investment Advisory/Research | 27 |
| Registered Broker-Dealer Representatives | 49 |
| Registered State Investment Advisers | 40 |
| Licensed Agents of an Insurance Company | 41 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 4,578 | $862.6M |
| Total | 4,578 | $862.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,162 | $670.6M |
| HNW Individuals | 245 | $187.8M |
| 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 | $1.4M |
| State or municipal gov entities | <5 | $1.7M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 5 | $1.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)MUTUAL FUND WRAP |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-71639 |
|---|---|
| SEC ERA File Number | 801-71639 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 1464 |
| Legal Entity Identifier | None |
Principal Office
433 MAIN STREETGREEN BAY
WI
United States
Monday - Friday, 8:00 AM - 5:00 PM CT
Tel: 800-595-7722, Fax: 920-327-5674
Chief Compliance Officer
ANTHONY PECORA
CHIEF COMPLIANCE OFFICER
525 W. MONROE ST., SUITE 2400
CHICAGO
IL
United States
Tel:
312-544-4609
Fax:
920-327-5674
A*************@*****************M
(Full email address available in API data)
Regulatory Contact
MICHAEL DAVID KUIPERS
PRESIDENT & CEO
5353 WAYZATA BLVD.
ST. LOUIS PARK
MN
United States
Tel:
952-912-5280
Fax:
920-327-5674
D************@*****************M
(Full email address available in API data)
Industry Affiliates
| ASSOCIATED BANK | Banking or thrift institution |
| ASSOCIATED TRUST COMPANY | Trust companyPension consultantSponsor, GP, manager of pooled investment vehicles |
| KELLOGG ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CRAVILLION, BETH ANN | Individual | – | DIRECTOR OF SUPPORT SERVICES | 12/2004 | < 5% |
| KUIPERS, MICHAEL DAVID | Individual | – | DIRECTOR, PRESIDENT & CEO | 07/2015 | < 5% |
| PECORA, ANTHONY PHILIP | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2015 | < 5% |
| STEIN, DAVID LEWIS | Individual | – | DIRECTOR, BOARD OF DIRECTORS | 01/2011 | < 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% |
| ASSOCIATED TRUST COMPANY, N.A. | Domestic Entity | – | SOLE SHAREHOLDER | 05/2016 | > 75% |
| THAYER, JOHN PARKER | Individual | – | CHAIRMAN, BOARD OF DIRECTORS | 07/2021 | < 5% |
| HOCHHOLZER, MICHAEL ROBERT | Individual | – | DIRECTOR, BOARD OF DIRECTORS | 07/2021 | < 5% |
| DELOYE, DENNIS MICHAEL | Individual | – | DIRECTOR, BOARD OF DIRECTORS | 05/2022 | < 5% |
| KELLER, JACOB JEFFERY | Individual | – | PRINCIPAL, FINANCIAL REPORTING | 05/2023 | < 5% |
| ARNOLD, ANDREW JAMES | Individual | – | DIRECTOR, TREASURER | 05/2023 | < 5% |
| HLADIO, JAYNE CLARA | Individual | – | DIRECTOR, BOARD OF DIRECTORS | 02/2024 | < 5% |