ETF MODEL SOLUTIONS, LLC
Adviser information for ETF MODEL SOLUTIONS, LLC last updated from Form ADV on March 15th, 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 | 12 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| 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 | 233 | $15.7M |
| Non-Discretionary | 0 | $0 |
| Total | 233 | $15.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 103 | $6.7M |
| HNW Individuals | 11 | $3.8M |
| 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 | <5 | $5.3M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $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 | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesMODEL MANAGEMENT |
|---|---|
| Compensation | % of AUMLICENSE FEES |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 10.4M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| BETTERMENT | BETTERMENT |
Identifiers
| SEC RIA File Number | 801-80785 |
|---|---|
| SEC ERA File Number | 801-80785 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168410 |
| Legal Entity Identifier | None |
Principal Office
W6272 COMMUNICATION COURTAPPLETON
WI
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 920-785-6010, Fax: 920-227-0521
Websites
www.facebook.com/etfmodels
twitter.com/etfmodels
www.linkedin.com/company/etf-model-solutions
www.etfmodelsolutions.com
www.youtube.com/channel/ucldrpikkhdwbki35pqztbhw
alpha-maven.com/company/etf-model-solutions-llc
www.embark-invest.com
www.linkedin.com/company/embark-invest/
twitter.com/embark_invest
www.facebook.com/embarkinvest
Chief Compliance Officer
ROBERT L. RIEDL
MANAGING MEMBER
W6272 COMMUNICATION COURT
APPLETON
WI
United States
Tel:
920.785.6010
Fax:
920.227.0521
R**@********************M
(Full email address available in API data)
Regulatory Contact
TIMOTHY J. LANDOLT
MANAGING DIRECTOR
W6272 COMMUNICATION COURT
APPLETON
WI
United States
Tel:
920.785.6010
Fax:
920.227.0521
T**@********************M
(Full email address available in API data)
Industry Affiliates
| CHRISTOPHER PLATTEN, CPA | Accountant or accounting firm |
| ENDOWMENT WEALTH MANAGEMENT, INC. | Other investment adviser, including financial plannersPension consultantSponsor, GP, manager of pooled investment vehicles |
| GLOBAL ALTERNATIVE INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial plannersSponsor, 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 |
|---|---|---|---|---|---|
| MEHROTRA, PRATEEK, NMN | Individual | – | MANAGING MEMBER, CHIEF INVESTMENT OFFICER | 05/2013 | 10-25% |
| RIEDL, ROBERT, LOUIS | Individual | – | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | 05/2013 | 10-25% |
| ORTH, WENDY, STEPHENSON | Individual | – | MEMBER | 12/2015 | 5-10% |
| 0913, LLC | Domestic Entity | – | MEMBER | 09/2013 | 10-25% |
| THIEL, TODD, CHARLES | Individual | 0913, LLC | MEMBER | 11/2013 | > 75% |
| OTHMAR GROUP, LLC | Domestic Entity | – | MEMBER | 09/2014 | 5-10% |
| LARRY L. RICE AND NANCY E. RICE JOINT REVOCABLE LIVING TRUST | Domestic Entity | – | MEMBER | 05/2016 | 10-25% |
| RICE, LARRY, LEE | Individual | LARRY L. RICE AND NANCY E. RICE JOINT REVOCABLE LIVING TRUST | TRUSTEE | 12/2012 | 50-75% |
| RICE, NANCY, EILEEN | Individual | LARRY L. RICE AND NANCY E. RICE JOINT REVOCABLE LIVING TRUST | TRUSTEE | 12/2012 | 50-75% |
| STEPHENSON, ROLAND, GLEN | Individual | STEPHENSON FAMILY LIMITED PARTNERSHIP LP | LIMITED PARTNER | 12/2021 | 25-50% |
| STEPHENSON, SUE, ELLEN | Individual | STEPHENSON FAMILY LIMITED PARTNERSHIP LP | LIMITED PARTNER | 12/2021 | 25-50% |
| GEHL, PAUL, OTHMAR | Individual | OTHMAR GROUP, LLC | MEMBER | 02/2000 | > 75% |
| STEPHENSON FAMILY LIMITED PARTNERSHIP LP | Domestic Entity | – | SHAREHOLDER | 12/2021 | 5-10% |