WARNKE/NICHOLS LTD.
Adviser information for WARNKE/NICHOLS LTD. last updated from Form ADV on January 23rd, 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 | 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 | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 288 | $182.6M |
| Non-Discretionary | 18 | $12.5M |
| Total | 306 | $195.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 260 | $59.3M |
| HNW Individuals | 46 | $135.8M |
| 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 | 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 | 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 businesses |
|---|---|
| Compensation | % of AUMHourly charges |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 3.9M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| INVESTMENT MANAGEMENT SERVICES | MORGAN STANLEY |
| MAP PROGRAM | RBC WEALTH MANAGEMENT |
Identifiers
| SEC RIA File Number | 801-79230 |
|---|---|
| SEC ERA File Number | 801-79230 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112181 |
| Legal Entity Identifier | None |
Principal Office
440 WELLS STREETSUITE 203
DELAFIELD
WI
United States
Monday - Friday, 8:30 AM TO 3:30 PM
Tel: 262-303-4113, Fax: 262-400-3030
Websites
Chief Compliance Officer
STEVEN R. NICHOLS
PRESIDENT
440 WELLS STREET
SUITE 203
DELAFIELD
WI
United States
Tel:
262-303-4113
Fax:
262-303-9035
S********@****************M
(Full email address available in API data)
Regulatory Contact
WILLIAM R. WARNKE
VICE-PRESIDENT
440 WELLS STREET
SUITE 203
DELAFIELD
WI
United States
Tel:
262-303-4113
Fax:
262-303-9035
B******@****************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 |
|---|---|---|---|---|---|
| WARNKE, WILLIAM, ROLAND | Individual | – | VICE PRESIDENT/TREASURER | 04/1993 | 50-75% |
| NICHOLS, STEVEN, ROSS | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2004 | 10-25% |
| NICHOLS, STEVEN, ROSS | Individual | – | PRESIDENT | 04/1993 | 10-25% |
| RAMER, ANDY, PATRICK | Individual | – | VICE PRESIDENT/SECRETARY | 06/2022 | 25-50% |