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ANNEX WEALTH MANAGEMENT, LLC
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ANNEX WEALTH MANAGEMENT, LLC
(CRD# 127987)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Elm Grove, WI.
The SEC approved the firm to operate as an RIA in
Sep 2004.
In
Mar 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$1.8 Billion,
and has discretion over
91%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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ANNEX WEALTH MANAGEMENT, LLC
also reported in
Mar 2018:
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69
employees,
with
40
performing advisory functions.
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A total of 7 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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ANNEX WEALTH MANAGEMENT, LLC has no disclosure events reported to the SEC at this time.
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ANNEX WEALTH MANAGEMENT, LLC has Notice Filings with the following State Securities Authorities:
AZ-Jan 2012, CA-May 2016, CO-Mar 2017, FL-Mar 2007, IA-Aug 2017
, IL-Sep 2004, IN-Aug 2017, KY-Aug 2017, MI-Aug 2017, MN-Jan 2012
, NC-May 2016, NH-Mar 2018, SC-May 2016, TN-Oct 2014, TX-Mar 2014
, WI-Sep 2004
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Disclaimer:
The information presented above was gleaned from the SEC
website and is believed to be accurate.
FindingFraud.org is presenting this data for
informational purposes only and assumes no
responsibility for errors or omissions. Please
note that we are aware of many instances where RIAs
provided erroneous data to the SEC. Feel Free to
contact FindingFraud.org with questions or concerns.
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