Hedge Fund Database

ELLENBECKER INVESTMENT GROUP

ELLENBECKER INVESTMENT GROUP, INC. Legal Name

Adviser information for ELLENBECKER INVESTMENT GROUP last updated from Form ADV on March 11th, 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 39
Investment Advisory/Research 13
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 16
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 2,058 $1.5B
Non-Discretionary 2 $492,850
Total 2,060 $1.5B

Clients

Type Number RAUM
Individuals 1,550 $468.1M
HNW Individuals 497 $1.0B
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 13 $2.9M
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 35
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops
Compensation % of AUMFixed feesCORPORATE EDUCATION AND SPEAKING ENGAGEMENTS
Other Business Activities Accountant or accounting firm

Identifiers

SEC RIA File Number 801-80600
SEC ERA File Number 801-80600
SEC CIK Numbers 1731497
SEC CRD Numbers 173851
Legal Entity Identifier None

Principal Office

N21 W23350 RIDGEVIEW PARKWAY
WAUKESHA
WI
United States
Monday - Friday, 8AM - 5PM
Tel: 262-691-3200, Fax: 262-691-3229

Websites

www.facebook.com/ellenbeckerinvestmentgroup/ www.ellenbecker.com moneysense.castos.com/ mpc.castos.com/ www.linkedin.com/company/ellenbecker-investment-group/

Chief Compliance Officer

MICHELE PAWLAK
CCO & DIRECTOR OF BUSINESS SERVICES
N21W23350 RIDGEVIEW PARKWAY
WAUKESHA
WI
United States
Tel: 262-691-3200
Fax: 262-691-3229
(Full email address available in API data)

Regulatory Contact

JULIE ELLENBECKER-LIPSKY
PRESIDENT & CEO
N21 W23350 RIDGEVIEW PARKWAY
WAUKESHA
WI
United States
Tel: 262-691-3200
Fax: 262-691-3229
(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
ELLENBECKER, KAREN, JEAN Individual – FOUNDER, SECRETARY AND TREASURER 06/2014 > 75%
ELLENBECKER-LIPSKY, JULIE, ANN Individual – PRESIDENT AND CHIEF EXECUTIVE OFFICER 06/2014 25-50%
PAWLAK, MICHELE, LEE Individual – CHIEF COMPLIANCE OFFICER & DIRECTOR OF BUSINESS SERVICES 03/2023 < 5%
HIPKE, HEATHER, LYNN Individual – CHIEF FINANCIAL OFFICER 06/2023 < 5%

No. Employees, Historic

4020020202021202220232024202528 on 3/3/202028 on 6/17/202028 on 6/24/202028 on 6/24/202028 on 6/30/202028 on 7/2/202031 on 2/18/202131 on 9/13/202131 on 10/25/202133 on 3/10/202234 on 3/24/202334 on 5/30/202334 on 8/31/202339 on 3/11/2024

RAUM, Historic

2B1B0202020212022202320242025948708052 on 3/3/2020948708052 on 6/17/2020948708052 on 6/24/2020948708052 on 6/24/2020948708052 on 6/30/2020948708052 on 7/2/20201121347182 on 2/18/20211121347182 on 9/13/20211121347182 on 10/25/20211390988383 on 3/10/20221250836104 on 3/24/20231250836104 on 5/30/20231250836104 on 8/31/20231491336546 on 3/11/2024

No. Clients, Historic

3,0001,50002020202120222023202420251571 on 3/3/20201571 on 6/17/20201571 on 6/24/20201571 on 6/24/20201571 on 6/30/20201571 on 7/2/20201677 on 2/18/20211677 on 9/13/20211677 on 10/25/20211812 on 3/10/20221936 on 3/24/20231936 on 5/30/20231936 on 8/31/20232060 on 3/11/2024

Holdings

From latest 13F, filed July 11th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABORATORIES COM 579K 6K –
ABBVIE INC COM 1M 6K –
ACCENTURE PLC COM 232K 766 –
ALPHABET INC CLASS C COM 686K 4K –
ALPHABET INC CLASS A COM 350K 2K –
ALLIANT ENERGY CORP COM 463K 9K –
ALTRIA GROUP INC COM 2M 39K –
AMAZON.COM INC COM 2M 8K –
ANALOG DEVICES INC COM 410K 2K –
API GROUP COPR COM 212K 6K –
APPLE INC COM 8M 37K –
APPLIED MATERIALS COM 228K 694 –
AT&T INC COM 301K 16K –
AXON ENTERPRICE INC COM 261K 887 –
BADGER METER INC COM 521K 3K –
BANK OF MONTREAL COM 378K 5K –
BERKSHIRE HATHAWAY INC CL B COM 1M 3K –
BROADCOM INC COM 509K 316 –
CATERPILLAR INC COM 304K 912 –
CHEVRON CORP COM 642K 4K –
COCA-COLA CO COM 431K 7K –
COMCAST CORP COM 212K 5K –
CONOCOPHILLIPS COM 367K 3K –
CONSTELLATION ENERGY CORP COM 480K 2K –
COSTCO WHOLESALE CORP COM 448K 527 –
DEERE & CO COM 224K 599 –
DIMENSIONAL US SMALL CAP ETF 440K 7K –
DIMENSIONAL US TARGETED VALUE ETF 245K 5K –
DIMENSIONAL INTL VALUE ETF 780K 22K –
EATON CORP PLC COM 1M 3K –
ELI LILLY AND CO COM 391K 432 –
ENTERPRISE PRODUCTS PARTNERS COM 721K 25K –
EXELON CORP COM 241K 7K –
EXXON MOBIL CORP COM 988K 9K –
FIDELITY NATL INFORMATION SV COM 343K 5K –
FIRST TRUST TWC UNCONSTAINED PL BD 4M 181K –
FISERV INC COM 3M 20K –
HOME DEPOT INC COM 946K 3K –
HONEYWELL INTL INC COM 1M 6K –
INTERNATIONAL BUSINESS MACHINES COM 346K 2K –
ISHARES TR CORE US AGGBD ETF 30M 314K –
ISHARES TR INTRMD CR BD ETF 382K 7K –
ISHARES TR CORE S&P 500 ETF 209M 382K –
ISHARES TR CORE S&P 500 GR ETF 256K 3K –
ISHARES TR CORE S&P SCP ETF 14M 127K –
ISHARES TR RUS 1000 VAL ETF 5M 31K –
ISHARES TR RUS 1000 GRW ETF 26M 71K –
ISHARES TR IBOXX HI YD ETF 2M 24K –
ISHARES TR CRE U S REIT ETF 11M 207K –
ISHARES TR RUSSELL 2000 ETF 1M 6K –
ISHARES TR RUS MID CAP ETF 2M 27K –
ISHARES TR TIPS BD ETF 1M 11K –
ISHARES TR NATIONAL MUNI ETF 545K 5K –
ISHARES TR AGGRES ALLOC ETF 6M 74K –
ISHARES TR CONSERV ALLOC ETF 237K 6K –
ISHARES TR MODERT ALLOC ETF 2M 38K –
ISHARES TR GRWT ALLOCAT ETF 4M 72K –
ISHARES TR CORE MSCI EAFE ETF 854K 12K –
ISHARES TR CORE DIV GROWTH ETF 800K 14K –
ISHARES TR ESG SCR S&P 500 ETF 250K 6K –
JOHNSON & JOHNSON COM 652K 4K –
JOHNSON CONTROLS INTL COM 245K 4K –
JP MORGAN CHASE & CO COM 433K 2K –
KINDER MORGAN INC COM 306K 15K –
KLA CORP COM 440K 534 –
LINDE PLC COM 276K 629 –
LOWE'S COMPANIES INC COM 361K 2K –
MARRIOTT INTERNATIONAL INC COM 487K 2K –
MASTERCARD INC COM 225K 510 –
MCDONALDS CORP COM 482K 2K –
MERCK & CO INC COM 904K 7K –
META PLATFORMS INC COM 518K 1K –
MGIC INVESTMENT CORP COM 456K 21K –
MICROSOFT CORP COM 5M 11K –
MONDELEZ INTL INC CL A 370K 6K –
NETFLIX INC COM 311K 461 –
NVIDIA CORPORATION INC COM 3M 23K –
ORACLE CORP COM 209K 1K –
PGIM INVESTMENTS ULTRA SHORT BOND ETF 2M 48K –
PEPSICO INC COM 1M 7K –
PFIZER INC COM 341K 12K –
PHILIP MORRIS INTL INC COM 3M 26K –
PROCTOR & GAMBLE COMPANY COM 356K 2K –
QUALCOMM INC COM 209K 1K –
ROCKWELL AUTOMATION INC COM 545K 2K –
RTX CORP COM 334K 3K –
SPDR S&P 500 ETF TR TR UNIT 9M 17K –
SPDR SERIES TRUST S&P DIVID ETF 2M 16K –
SPDR SSGA MULTI-ASSET REAL RET ETF 765K 28K –
SCHWAB US BROAD MARKET ETF 231K 4K –
SCHWAB US DIV EQ 3M 34K –
SCHWAB US LARGE CAP ETF 348K 5K –
SCHWAB US TIPS ETF 3M 65K –
SHERWIN WILLIAMS CO COM 213K 714 –
STRYKER CORP COM 264K 776 –
SYNOVUS FINANCIAL CORP COM 263K 7K –
SYSCO CORP COM 877K 12K –
TE CONNECTIVITY LTD COM 221K 1K –
TESLA MOTORS INC COM 533K 3K –
TEXAS INSTRUMENTS INC COM 227K 1K –
THERMO FISHER SCIENTIFIC INC COM 381K 688 –
UNION PACIFIC CORP COM 402K 2K –
UNITEDHEALTH GROUP INC COM 2M 4K –
US BANCORP COM 332K 8K –
VANGUARD INDEX FDS SMALL CP ETF 54M 248K –
VANGUARD INDEX FDS MID CAP ETF 4M 16K –
VANGUARD INDEX FDS TOTAL BND MKT ETF 4M 52K –
VANGUARD INTL EQUITY INDEX F FTSE DEV MKT ETF 18M 372K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 1M 19K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 10M 225K –
VANGUARD LARGE CAP ETF 2M 8K –
VANGUARD TOTAL STK MKT ETF 227K 846 –
VISA INC COM 605K 2K –
WAL-MART STORES INC COM 908K 13K –
WELLS FARGO & CO COM 253K 4K –
WEYERHAEUSER CO COM 273K 10K –
WEC ENERGY GROUP INC COM 1M 19K –