KERBERROSE WEALTH MANAGEMENT, LLC

http://linkedin.com/Daniel Wotruba • SHAWANO, WI • Investment Advisor How do I update this listing?

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Kerberrose Wealth Management is based out of Shawano. Kerberrose Wealth Management is a large advisory firm with 1117 clients and discretionary assets under management (AUM) of $409,476,634 (Form ADV from 2022-08-05). Their last reported 13F filing for Q2 2022 included $122,790,000 in managed 13F securities and a top 10 holdings concentration of 46.93%. Kerberrose Wealth Management's largest holding is Schwab US Dividend Equity ETF with shares held of 230,786. Whalewisdom has at least 1 13F filings

06/30/2022

Top Sells (13F)

  • Name% Change

06/30/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2022-08-15

Performance for Q2 2022: 3.9%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter
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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

KERBERROSE WEALTH MANAGEMENT, LLC
115 E. 5TH STREET
SHAWANO WI    54166
Country: United States
Business Phone: 715.526.9400
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: WI
Number of employees: 8
Other Business Activities: registered representative of a broker-dealer,insurance broker or agent,accountant or accounting firm
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Commissions
Amount of client funds and securities: 118,410,000
Total Number of Clients: 1117
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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KERBERROSE WEALTH MANAGEMENT, LLC

ownership team - last updated 2022-03-11
Name Title Start Date Direct/Indirect % Ownership
SADZEWICZ, GERY, JOSEPH CHIEF COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SENTINUS ASSET MANAGEMENT, LLC CCO direct 2012-02-01
ETHIKA INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2016-04-01
WEALTHSTAR ADVISORS, LLC CCO direct 2014-01-01
VIRTUS REAL ESTATE LLC CCO direct 2012-08-01
MAIN STREET FINANCIAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-12-01
REYNOLDS WEALTH, LLC SOLE MEMBER & CCO direct 2012-03-01
SENTINUS, LLC CCO direct 2012-03-01
HINDSIGHT ASSET MANAGEMENT, LLC SOLE MANAGING MEMBER & CCO direct 2012-02-01
HINDSIGHT ASSET MANAGEMENT, LLC SOLE MEMBER & CCO direct 2012-02-01
RECON CAPITAL ADVISORS LLC CCO direct 2013-10-01
RECON CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01
MERIDIAN FINANCIAL GROUP, LTD. CHIEF COMPLIANCE OFFICER direct 2013-03-01
GSC CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-04-01
CLEAR PERSPECTIVE ADVISORS, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2011-04-01
CLEAR PERSPECTIVE ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-04-01
PIERSHALE FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2011-03-01
VITAL WEALTH MANAGEMENT, LLC CCO direct 2013-06-01
CLA FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-03-01
GPB CAPITAL HOLDINGS, LLC CCO direct 2014-04-01
ACORN WEALTH ADVISORS, LLC SOLE MEMBER AND CCO direct 2014-01-01
ACORN WEALTH ADVISORS, LLC CCO direct 2014-01-01
WAM, LLC SOLE MEMBER / CHIEF COMPLIANCE OFFICER direct 2014-04-01
ISTHMUS PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
RUEDI WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-09-01
FAIRHAVEN WEALTH MANAGEMENT, LLC CCO direct 2014-10-01
FAIRHAVEN WEALTH MANAGEMENT, LLC SOLE MEMBER AND CCO direct 2014-10-01
LLOYD PARK, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
ORCHARD CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-06-01
SWS PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
BOWER HILL CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
MMSK, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2015-10-01
STEVARD LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-08-01
STEVARD LLC CHIEF COMPLIANCE OFFICER direct 2016-11-01
RUEDI HOLDER & ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
EADVISOR CHIEF COMPLIANCE OFFICER direct 2002-08-01
FINANCIAL SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
HERITAGE CAPITAL MANAGEMENT INC CCO direct 2011-11-01
MIDWEST PROFESSIONAL PLANNERS, LTD. CHIEF COMPLIANCE OFFICER direct 2014-01-01
CENTERPOINT WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-11-01
PINKERTON RETIREMENT SPECIALISTS, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
POEHLING CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-10-01
WATERLOO CAPITAL, L.P. CHIEF COMPLIANCE OFFICER direct 2012-01-01
BREWER INVESTMENT ADVISORS, LLC DIRECTOR OF COMPLIANCE AND CHIEF COMPLIANCE OFFICER direct 2009-06-01
SOUTHERN WEALTH MANAGEMENT LLP CHIEF COMPLIANCE OFFICER direct 2010-01-01
INTEROCEAN WEALTH MANAGEMENT LLC MANAGING MEMBER indirect 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CEO & CFO direct 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CEO/CFO, CHIEF COMPLIANCE OFFICER direct 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER direct 2006-04-01
ABRIDGE PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-09-01
AHM ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-05-01
MGP WEALTH MANAGEMENT, LLC CCO direct 2012-04-01
DLS CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-10-01
TWOMBLY ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
CORNERSTONE FINANCIAL PLANNING, INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
CHOU AMERICA MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLA USA ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
HARBOR WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
RIVER STREET ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
FINANCIAL FIDUCIARIES, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
PROVIDENCE WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-04-01
PROVIDENCE WEALTH ADVISORS, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2010-04-01
JLTD ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-05-01
LFS ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-06-01
FUSION CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
PACTOLUS PRIVATE WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
KERBERROSE HOLDINGS, LLC OWNER 08/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC OWNER direct 2013-08-01
POWERS, ANTHONY, J ELECTED MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-01-01
KERBERROSE SC OWNER KERBERROSE HOLDINGS, LLC 08/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC OWNER indirect 2013-08-01

KERBERROSE WEALTH MANAGEMENT, LLC

ownership team - last updated 2021-06-08
Name Title Start Date Direct/Indirect % Ownership
SADZEWICZ, GERY, JOSEPH CHIEF COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SENTINUS ASSET MANAGEMENT, LLC CCO direct 2012-02-01
ETHIKA INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2016-04-01
WEALTHSTAR ADVISORS, LLC CCO direct 2014-01-01
VIRTUS REAL ESTATE LLC CCO direct 2012-08-01
MAIN STREET FINANCIAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-12-01
REYNOLDS WEALTH, LLC SOLE MEMBER & CCO direct 2012-03-01
SENTINUS, LLC CCO direct 2012-03-01
HINDSIGHT ASSET MANAGEMENT, LLC SOLE MANAGING MEMBER & CCO direct 2012-02-01
HINDSIGHT ASSET MANAGEMENT, LLC SOLE MEMBER & CCO direct 2012-02-01
RECON CAPITAL ADVISORS LLC CCO direct 2013-10-01
RECON CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01
MERIDIAN FINANCIAL GROUP, LTD. CHIEF COMPLIANCE OFFICER direct 2013-03-01
GSC CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-04-01
CLEAR PERSPECTIVE ADVISORS, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2011-04-01
CLEAR PERSPECTIVE ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-04-01
PIERSHALE FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2011-03-01
VITAL WEALTH MANAGEMENT, LLC CCO direct 2013-06-01
CLA FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-03-01
GPB CAPITAL HOLDINGS, LLC CCO direct 2014-04-01
ACORN WEALTH ADVISORS, LLC SOLE MEMBER AND CCO direct 2014-01-01
ACORN WEALTH ADVISORS, LLC CCO direct 2014-01-01
WAM, LLC SOLE MEMBER / CHIEF COMPLIANCE OFFICER direct 2014-04-01
ISTHMUS PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
RUEDI WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-09-01
FAIRHAVEN WEALTH MANAGEMENT, LLC CCO direct 2014-10-01
FAIRHAVEN WEALTH MANAGEMENT, LLC SOLE MEMBER AND CCO direct 2014-10-01
LLOYD PARK, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
ORCHARD CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-06-01
SWS PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
BOWER HILL CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
MMSK, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2015-10-01
STEVARD LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-08-01
STEVARD LLC CHIEF COMPLIANCE OFFICER direct 2016-11-01
RUEDI HOLDER & ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
EADVISOR CHIEF COMPLIANCE OFFICER direct 2002-08-01
FINANCIAL SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
HERITAGE CAPITAL MANAGEMENT INC CCO direct 2011-11-01
MIDWEST PROFESSIONAL PLANNERS, LTD. CHIEF COMPLIANCE OFFICER direct 2014-01-01
CENTERPOINT WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-11-01
PINKERTON RETIREMENT SPECIALISTS, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
POEHLING CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-10-01
WATERLOO CAPITAL, L.P. CHIEF COMPLIANCE OFFICER direct 2012-01-01
BREWER INVESTMENT ADVISORS, LLC DIRECTOR OF COMPLIANCE AND CHIEF COMPLIANCE OFFICER direct 2009-06-01
SOUTHERN WEALTH MANAGEMENT LLP CHIEF COMPLIANCE OFFICER direct 2010-01-01
INTEROCEAN WEALTH MANAGEMENT LLC MANAGING MEMBER indirect 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CEO & CFO direct 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CEO/CFO, CHIEF COMPLIANCE OFFICER direct 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER direct 2006-04-01
ABRIDGE PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-09-01
AHM ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-05-01
MGP WEALTH MANAGEMENT, LLC CCO direct 2012-04-01
DLS CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-10-01
TWOMBLY ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
CORNERSTONE FINANCIAL PLANNING, INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
CHOU AMERICA MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLA USA ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
HARBOR WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
RIVER STREET ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
FINANCIAL FIDUCIARIES, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
PROVIDENCE WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-04-01
PROVIDENCE WEALTH ADVISORS, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2010-04-01
JLTD ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-05-01
LFS ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-06-01
FUSION CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
PACTOLUS PRIVATE WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
KERBERROSE HOLDINGS, LLC OWNER 08/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC OWNER direct 2013-08-01
POWERS, ANTHONY, J ELECTED MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-01-01
KERBERROSE SC OWNER KERBERROSE HOLDINGS, LLC 08/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC OWNER indirect 2013-08-01

KERBERROSE WEALTH MANAGEMENT, LLC

ownership team - last updated 2021-02-27
Name Title Start Date Direct/Indirect % Ownership
SADZEWICZ, GERY, JOSEPH CHIEF COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SENTINUS ASSET MANAGEMENT, LLC CCO direct 2012-02-01
ETHIKA INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2016-04-01
WEALTHSTAR ADVISORS, LLC CCO direct 2014-01-01
VIRTUS REAL ESTATE LLC CCO direct 2012-08-01
MAIN STREET FINANCIAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-12-01
REYNOLDS WEALTH, LLC SOLE MEMBER & CCO direct 2012-03-01
SENTINUS, LLC CCO direct 2012-03-01
HINDSIGHT ASSET MANAGEMENT, LLC SOLE MANAGING MEMBER & CCO direct 2012-02-01
HINDSIGHT ASSET MANAGEMENT, LLC SOLE MEMBER & CCO direct 2012-02-01
RECON CAPITAL ADVISORS LLC CCO direct 2013-10-01
RECON CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01
MERIDIAN FINANCIAL GROUP, LTD. CHIEF COMPLIANCE OFFICER direct 2013-03-01
GSC CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-04-01
CLEAR PERSPECTIVE ADVISORS, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2011-04-01
CLEAR PERSPECTIVE ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-04-01
PIERSHALE FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2011-03-01
VITAL WEALTH MANAGEMENT, LLC CCO direct 2013-06-01
CLA FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-03-01
GPB CAPITAL HOLDINGS, LLC CCO direct 2014-04-01
ACORN WEALTH ADVISORS, LLC SOLE MEMBER AND CCO direct 2014-01-01
ACORN WEALTH ADVISORS, LLC CCO direct 2014-01-01
WAM, LLC SOLE MEMBER / CHIEF COMPLIANCE OFFICER direct 2014-04-01
ISTHMUS PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
RUEDI WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-09-01
FAIRHAVEN WEALTH MANAGEMENT, LLC CCO direct 2014-10-01
FAIRHAVEN WEALTH MANAGEMENT, LLC SOLE MEMBER AND CCO direct 2014-10-01
LLOYD PARK, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
ORCHARD CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-06-01
SWS PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
BOWER HILL CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
MMSK, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2015-10-01
STEVARD LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-08-01
STEVARD LLC CHIEF COMPLIANCE OFFICER direct 2016-11-01
RUEDI HOLDER & ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
EADVISOR CHIEF COMPLIANCE OFFICER direct 2002-08-01
FINANCIAL SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
HERITAGE CAPITAL MANAGEMENT INC CCO direct 2011-11-01
MIDWEST PROFESSIONAL PLANNERS, LTD. CHIEF COMPLIANCE OFFICER direct 2014-01-01
CENTERPOINT WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-11-01
PINKERTON RETIREMENT SPECIALISTS, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
POEHLING CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-10-01
WATERLOO CAPITAL, L.P. CHIEF COMPLIANCE OFFICER direct 2012-01-01
BREWER INVESTMENT ADVISORS, LLC DIRECTOR OF COMPLIANCE AND CHIEF COMPLIANCE OFFICER direct 2009-06-01
SOUTHERN WEALTH MANAGEMENT LLP CHIEF COMPLIANCE OFFICER direct 2010-01-01
INTEROCEAN WEALTH MANAGEMENT LLC MANAGING MEMBER indirect 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CEO & CFO direct 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CEO/CFO, CHIEF COMPLIANCE OFFICER direct 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER direct 2006-04-01
ABRIDGE PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-09-01
AHM ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-05-01
MGP WEALTH MANAGEMENT, LLC CCO direct 2012-04-01
DLS CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-10-01
TWOMBLY ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
CORNERSTONE FINANCIAL PLANNING, INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
CHOU AMERICA MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLA USA ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
HARBOR WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
RIVER STREET ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
FINANCIAL FIDUCIARIES, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
PROVIDENCE WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-04-01
PROVIDENCE WEALTH ADVISORS, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2010-04-01
JLTD ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-05-01
LFS ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-06-01
FUSION CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
PACTOLUS PRIVATE WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
KERBERROSE HOLDINGS, LLC OWNER 08/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC OWNER direct 2013-08-01
POWERS, ANTHONY, J ELECTED MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-01-01
KERBERROSE SC OWNER KERBERROSE HOLDINGS, LLC 08/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC OWNER indirect 2013-08-01

KERBERROSE WEALTH MANAGEMENT, LLC

ownership team - last updated 2020-11-24
Name Title Start Date Direct/Indirect % Ownership
SADZEWICZ, GERY, JOSEPH CHIEF COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SENTINUS ASSET MANAGEMENT, LLC CCO direct 2012-02-01
ETHIKA INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2016-04-01
WEALTHSTAR ADVISORS, LLC CCO direct 2014-01-01
VIRTUS REAL ESTATE LLC CCO direct 2012-08-01
MAIN STREET FINANCIAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-12-01
REYNOLDS WEALTH, LLC SOLE MEMBER & CCO direct 2012-03-01
SENTINUS, LLC CCO direct 2012-03-01
HINDSIGHT ASSET MANAGEMENT, LLC SOLE MANAGING MEMBER & CCO direct 2012-02-01
HINDSIGHT ASSET MANAGEMENT, LLC SOLE MEMBER & CCO direct 2012-02-01
RECON CAPITAL ADVISORS LLC CCO direct 2013-10-01
RECON CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01
MERIDIAN FINANCIAL GROUP, LTD. CHIEF COMPLIANCE OFFICER direct 2013-03-01
GSC CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-04-01
CLEAR PERSPECTIVE ADVISORS, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2011-04-01
CLEAR PERSPECTIVE ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-04-01
PIERSHALE FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2011-03-01
VITAL WEALTH MANAGEMENT, LLC CCO direct 2013-06-01
CLA FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-03-01
GPB CAPITAL HOLDINGS, LLC CCO direct 2014-04-01
ACORN WEALTH ADVISORS, LLC SOLE MEMBER AND CCO direct 2014-01-01
ACORN WEALTH ADVISORS, LLC CCO direct 2014-01-01
WAM, LLC SOLE MEMBER / CHIEF COMPLIANCE OFFICER direct 2014-04-01
ISTHMUS PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
RUEDI WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-09-01
FAIRHAVEN WEALTH MANAGEMENT, LLC CCO direct 2014-10-01
FAIRHAVEN WEALTH MANAGEMENT, LLC SOLE MEMBER AND CCO direct 2014-10-01
LLOYD PARK, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
ORCHARD CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-06-01
SWS PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
BOWER HILL CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
MMSK, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2015-10-01
STEVARD LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-08-01
STEVARD LLC CHIEF COMPLIANCE OFFICER direct 2016-11-01
RUEDI HOLDER & ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
EADVISOR CHIEF COMPLIANCE OFFICER direct 2002-08-01
FINANCIAL SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
HERITAGE CAPITAL MANAGEMENT INC CCO direct 2011-11-01
MIDWEST PROFESSIONAL PLANNERS, LTD. CHIEF COMPLIANCE OFFICER direct 2014-01-01
CENTERPOINT WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-11-01
PINKERTON RETIREMENT SPECIALISTS, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
POEHLING CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-10-01
WATERLOO CAPITAL, L.P. CHIEF COMPLIANCE OFFICER direct 2012-01-01
BREWER INVESTMENT ADVISORS, LLC DIRECTOR OF COMPLIANCE AND CHIEF COMPLIANCE OFFICER direct 2009-06-01
SOUTHERN WEALTH MANAGEMENT LLP CHIEF COMPLIANCE OFFICER direct 2010-01-01
INTEROCEAN WEALTH MANAGEMENT LLC MANAGING MEMBER indirect 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CEO & CFO direct 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CEO/CFO, CHIEF COMPLIANCE OFFICER direct 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER direct 2006-04-01
ABRIDGE PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-09-01
AHM ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-05-01
MGP WEALTH MANAGEMENT, LLC CCO direct 2012-04-01
DLS CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-10-01
TWOMBLY ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
CORNERSTONE FINANCIAL PLANNING, INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
CHOU AMERICA MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLA USA ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
HARBOR WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
RIVER STREET ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
FINANCIAL FIDUCIARIES, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
PROVIDENCE WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-04-01
PROVIDENCE WEALTH ADVISORS, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2010-04-01
JLTD ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-05-01
LFS ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-06-01
FUSION CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
PACTOLUS PRIVATE WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
KERBERROSE HOLDINGS, LLC OWNER 08/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC OWNER direct 2013-08-01
POWERS, ANTHONY, J ELECTED MANAGER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-01-01
KERBERROSE SC OWNER KERBERROSE HOLDINGS, LLC 08/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC OWNER indirect 2013-08-01

KERBERROSE WEALTH MANAGEMENT, LLC

ownership team - last updated 2020-08-19
Name Title Start Date Direct/Indirect % Ownership
SADZEWICZ, GERY, JOSEPH CHIEF COMPLIANCE OFFICER 07/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SENTINUS ASSET MANAGEMENT, LLC CCO direct 2012-02-01
ETHIKA INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2016-04-01
WEALTHSTAR ADVISORS, LLC CCO direct 2014-01-01
VIRTUS REAL ESTATE LLC CCO direct 2012-08-01
MAIN STREET FINANCIAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2012-12-01
REYNOLDS WEALTH, LLC SOLE MEMBER & CCO direct 2012-03-01
SENTINUS, LLC CCO direct 2012-03-01
HINDSIGHT ASSET MANAGEMENT, LLC SOLE MANAGING MEMBER & CCO direct 2012-02-01
HINDSIGHT ASSET MANAGEMENT, LLC SOLE MEMBER & CCO direct 2012-02-01
RECON CAPITAL ADVISORS LLC CCO direct 2013-10-01
RECON CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-10-01
MERIDIAN FINANCIAL GROUP, LTD. CHIEF COMPLIANCE OFFICER direct 2013-03-01
GSC CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-04-01
CLEAR PERSPECTIVE ADVISORS, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2011-04-01
CLEAR PERSPECTIVE ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-04-01
PIERSHALE FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2011-03-01
VITAL WEALTH MANAGEMENT, LLC CCO direct 2013-06-01
CLA FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-03-01
GPB CAPITAL HOLDINGS, LLC CCO direct 2014-04-01
ACORN WEALTH ADVISORS, LLC SOLE MEMBER AND CCO direct 2014-01-01
ACORN WEALTH ADVISORS, LLC CCO direct 2014-01-01
WAM, LLC SOLE MEMBER / CHIEF COMPLIANCE OFFICER direct 2014-04-01
ISTHMUS PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
RUEDI WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2014-09-01
FAIRHAVEN WEALTH MANAGEMENT, LLC CCO direct 2014-10-01
FAIRHAVEN WEALTH MANAGEMENT, LLC SOLE MEMBER AND CCO direct 2014-10-01
LLOYD PARK, LLC CHIEF COMPLIANCE OFFICER direct 2014-11-01
ORCHARD CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-06-01
SWS PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
BOWER HILL CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-10-01
MMSK, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2015-10-01
STEVARD LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2016-08-01
STEVARD LLC CHIEF COMPLIANCE OFFICER direct 2016-11-01
RUEDI HOLDER & ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
EADVISOR CHIEF COMPLIANCE OFFICER direct 2002-08-01
FINANCIAL SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
HERITAGE CAPITAL MANAGEMENT INC CCO direct 2011-11-01
MIDWEST PROFESSIONAL PLANNERS, LTD. CHIEF COMPLIANCE OFFICER direct 2014-01-01
CENTERPOINT WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-11-01
PINKERTON RETIREMENT SPECIALISTS, LLC CHIEF COMPLIANCE OFFICER direct 2014-01-01
POEHLING CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2011-10-01
WATERLOO CAPITAL, L.P. CHIEF COMPLIANCE OFFICER direct 2012-01-01
BREWER INVESTMENT ADVISORS, LLC DIRECTOR OF COMPLIANCE AND CHIEF COMPLIANCE OFFICER direct 2009-06-01
SOUTHERN WEALTH MANAGEMENT LLP CHIEF COMPLIANCE OFFICER direct 2010-01-01
INTEROCEAN WEALTH MANAGEMENT LLC MANAGING MEMBER indirect 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CEO & CFO direct 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CEO/CFO, CHIEF COMPLIANCE OFFICER direct 2006-04-01
INTEROCEAN WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER direct 2006-04-01
ABRIDGE PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2013-09-01
AHM ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-05-01
MGP WEALTH MANAGEMENT, LLC CCO direct 2012-04-01
DLS CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-10-01
TWOMBLY ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2009-09-01
CORNERSTONE FINANCIAL PLANNING, INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
CHOU AMERICA MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2009-10-01
CLA USA ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
HARBOR WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
RIVER STREET ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
FINANCIAL FIDUCIARIES, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
PROVIDENCE WEALTH ADVISORS, LLC MANAGER/CHIEF COMPLIANCE OFFICER direct 2010-04-01
PROVIDENCE WEALTH ADVISORS, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2010-04-01
JLTD ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-05-01
LFS ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-06-01
FUSION CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
PACTOLUS PRIVATE WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-09-01
KERBERROSE HOLDINGS, LLC OWNER 08/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC OWNER direct 2013-08-01
POWERS, ANTHONY, J PRESIDENT 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC PRESIDENT direct 2016-01-01
KERBERROSE SC OWNER KERBERROSE HOLDINGS, LLC 08/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
KERBERROSE WEALTH MANAGEMENT, LLC OWNER indirect 2013-08-01

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