Data / Investment advisers / Wisconsin / Conceptual Financial Advisors, LLC
Conceptual Financial Advisors, LLC, Appleton, WI: $190 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Conceptual Financial Advisors, LLC is an SEC registered investment adviser with its main office in Appleton, Wisconsin and reports $190 million in regulatory assets under management in its Form ADV filed January 15, 2026. Its clients include high net worth individuals, individuals and corporations and other businesses. It is paid through a percentage of assets under management, hourly charges and fixed fees.
The request: Watch Conceptual Financial Advisors, LLC (CRD number 167513): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 167513
- SEC file number
- 801-123428
- SEC status
- Approved, effective April 19, 2022
- Main office
- 2561 E. Calumet St., Appleton, WI 54915
- Phone
- (920) 731-9500
- Website
- ontrackadvisor.com
- Regulatory AUM
- $189,909,772 in the Form ADV filed January 15, 2026
- Discretionary AUM
- $143,158,726
- Non discretionary AUM
- $46,751,046
- Accounts
- 778
- Employees
- 4, of which 1 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- January 15, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 72 | $106.1 million |
| Individuals (other than high net worth individuals) | 347 | $58.7 million |
| Corporations or other businesses | Fewer than 5 | $12.6 million |
| Pension and profit sharing plans | 7 | $12.5 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| February 2, 2026 | $189.9 million | January 15, 2026 |
| December 1, 2025 | $163.6 million | January 13, 2025 |
Other advisers in Appleton
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Avaii Wealth Management, LLC | Appleton | $602.8 million | Not listed | adviserinfo.sec.gov |
| Winch Financial | Appleton | $580.2 million | Not listed | adviserinfo.sec.gov |
| Kom Wealth Management Group, LLC | Appleton | $407.8 million | Not listed | adviserinfo.sec.gov |
| Duell Financial Strategies | Appleton | $319.2 million | Not listed | adviserinfo.sec.gov |
| Cornerstone Financial Group | Appleton | $220.2 million | Not listed | adviserinfo.sec.gov |
| Collar Capital Management, LLC | Appleton | $176.3 million | Not listed | adviserinfo.sec.gov |
| Stonehaven Wealth & Tax Solutions | Appleton | $168.2 million | Not listed | adviserinfo.sec.gov |
| Professional Financial Management, Inc. | Appleton | $115.5 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Appleton, WI
- Investment advisers in Wisconsin
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Conceptual Financial Advisors, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.