Wisconsin Capital Management, LLC (Madison)

Name: Wisconsin Capital Management, LLC
Address: 8401 Excelsior Dr Ste. 102, Madison, WI, 53717
Telephone: 608-960-4616

Wisconsin Capital Management, LLC is a large advisory firm based in Madison. It manages $258.29 million of regulatory assets for 59 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Colorado, Florida, and Wisconsin.

Wisconsin Capital Management provides portfolio management for individuals and small businesses and portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Wisconsin Capital Management: assets under management

The assets under management (AUM) of Wisconsin Capital Management, LLC is $258.29 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -87% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $258.29 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4.38 million each.

Investments

The firm invests in exchange traded securities the most. They account for 63% of the total AUM. The second-largest asset type is investment and business development companies, which make up 23% of the firm’s portfolio. Investments in government bonds form 6% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Wisconsin Capital Management, LLC for their services and products based on a percentage of assets under management. 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 Thomas Gerald Plumb serves?

The firm provides services to individuals, investment companies, and high net worth individuals. The largest group of clients of Thomas Gerald Plumb is investment companies with 2 clients and $142.99 million of assets under management. Among the 9 most similar advisory firms, Wisconsin Capital Management has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $250.36 million for 30 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Wisconsin Capital Management doesn't advise any private funds.

Careers at Wisconsin Capital Management, LLC

The company employs 3 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative 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.

Thomas Gerald Plumb has been acting as President since 1 Feb 2011. Nathan Marek Plumb joined the executive team most recently as the Chief Financial Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Connie Marie Redman	Chief compliance officer and vice president	1 Jan 2005	Other	2273400
Inc. Tgp	Sole owner	1 Jan 2005	75% - 100%	39-1484755
Clint Alan Oppermann	Vice president	1 Jan 2005	Other	3014389
Timothy Rock Obrien	Vice president	1 Jan 2005	Other	3101937
Kathryn Lee Norton	Vice president	1 Jan 2005	Other	2528315
David Bruce Duchow	Vice president	1 Jan 2005	Other	2187062
Wm. Oliver Steinburg	Director	1 Jan 2005	Other	2621497
George Herbert Austin	Director	1 Jan 2005	Other	2538301
Thomas Edward Terry	Director	1 Jan 2005	Other	4782255
Paul Francis Leone	General counsel & chief compliance officer	1 Jan 2005	Other	1684732
Connie Marie Redman	Chief compliance officer and vice president and secretary	1 Nov 2005	Other	2273400
Thomas Gerald Plumb	President	1 Feb 2011	Other	1732830
Timothy Rock Obrien	Vice president and director	1 Feb 2011	Other	3101937
Kathryn Lee Norton	Director	1 Feb 2011	Other	2528315
Jack Robert Cotton	Director	1 Feb 2011	Other	4335126
Inc. Diversified Services Of Wisconsin	Voting member	1 Feb 2011	25% - 50%	39-1702659
Inc. Sva Wealth Management	Non-voting, equity member	1 Feb 2011	Other	105197
Llc Sva Plumb Wealth Management	Non-voting, equity member	1 Feb 2011	Other	105197
Carl Elmer Schultz	Director	1 Jul 2014	Other	4335133
Nathan Marek Plumb	Chief operating officer and secretary	1 Jan 2015	Other	4598158
Nathan Marek Plumb	Chief financial officer	1 Aug 2017	Other	4598158
Kristine Elaine Anderson	Chief compliance officer	1 Aug 2017	Other	6852479
Thomas Gerald Plumb	Chief compliance officer	1 Aug 2018	Other	1732830

Indirect Owners

The SEC currently registers 8 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Gerald Plumb	Sole shareholder	1 Jan 2005	75% - 100%	1732830
Inc. Tgp	Sole owner	1 Feb 2011	50% - 75%	39-1484755
Llc Sva Plumb Financial	Sole member	1 Feb 2011	75% - 100%	27-4605334
Carl Elmer Schultz	Director	1 Feb 2011	Other	4335133
Raymond Hughes Boysen	Director	1 Feb 2011	Other	4335106
John Anthony Baltes	Director	1 Jun 2011	Other	4450643
Carl Elmer Schultz	Director	1 Jun 2013	Other	4335133
Kurt Gerard Krumholz	Director	1 Mar 2014	Other	2507648

Based in Madison

The principal office where Wisconsin Capital Management, LLC performs its advisory services is located at 8401 Excelsior Dr Ste. 102, Madison, WI 53717, 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 608-960-4616. The normal business hours are 9:00 a.m.-5:00 p.m. on Monday - Friday. You can find more information about the New York firm at wiscap.com and its LinkedIn profile.