The Appleton Group, LLC (Appleton)

Name: The Appleton Group, LLC
Address: 100 W. Lawrence St, Appleton, WI, 54911
Telephone: 920/993-7727

The Appleton Group, LLC is a large advisory firm based in Appleton. It manages $179.08 million of regulatory assets for 630 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdiction of Wisconsin.

The Appleton Group provides financial planning services, portfolio management for individuals and small businesses, publication of newsletters, and educational seminars and workshops. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

The Appleton Group: assets under management

The assets under management (AUM) of The Appleton Group, LLC is $179.08 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 590% since the beginning of its operation, and $218 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $179.08 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $284.25 thousand each.

The Appleton Group has custody of $19.38 million in cash and securities for 18 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in cash and cash equivalents the most. They account for 47% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 35% of the firm’s portfolio. Investments in investment and business development companies form 15% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Appleton Group, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients The Appleton Group serves?

The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of The Appleton Group is high net worth individuals with 25 clients and $70.51 million of assets under management. Among the 6 most similar advisory firms, The Appleton Group has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $179.08 million for 226 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

The Appleton Group doesn't advise any private funds.

Careers at The Appleton Group, LLC

The company employs 6 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Larry L Heller joined the executive team most recently as the Minority Owner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Mark Christopher Scheffler	Member	1 Feb 2002	75% - 100%	2691549
Mark Christopher Scheffler	Chief compliance officer	1 Apr 2002	Other	2691549
Appleton Advisors Llc	Holding company	1 Jan 2005	75% - 100%	20-1503892
David Andrew Ogilvie	Minority owner	1 Jan 2005	Other	4913212
Andrew David Ogilvie	Minority owner	1 Jan 2005	Other	4913194
Larry L Heller	Minority owner	1 Jan 2005	Other	5285079
Diane O Schneider	Minority owner	1 Jan 2005	Other	5285073
Andrew D Ogilvie	Member	1 Jan 2005	Other	4913194
David A Ogilvie	Member	1 Jan 2005	Other	4913212
Diane O Schneider	Member	1 Apr 2006	Other	5285073
Larry L Heller	Member	1 Apr 2006	Other	5285079
Karen Marie Anderson	Chief operations officer, chief compliance officer	1 Jan 2016	Other	4262157
Mark Christopher Scheffler	Chief executive officer	1 Dec 2017	50% - 75%	2691549
Larry L Heller	Minority owner	1 Dec 2017	Other	5285079
Diane O Schneider	Minority owner	1 Dec 2017	Other	5285073
Karen Marie Anderson	Chief operations officer, chief compliance officer	1 Dec 2017	Other	4262157

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Mark Christopher Scheffler	Managing member	1 Jan 2005	50% - 75%	2691549

Based in Appleton

The principal office where The Appleton Group, LLC performs its advisory services is located at 100 W. Lawrence St, Appleton, WI 54911, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 920/993-7727 or by fax 920/993-7779. The normal business hours are 8:30 am - 4:00 pm on Monday - Friday. You can find more information about the New York firm at appletongrouponline.com.