Broker-dealer firm · Green Bay, WI
Associated Investment Services, Inc.
SEC-registered investment adviser · CRD 1464 · SEC 801-71639
At a glance
Associated Investment Services, Inc. is an SEC-registered investment adviser based in Green Bay, Wisconsin, with $1.2 billion in regulatory assets under management as of its Form ADV filed October 1, 2026. Its largest client group by assets is individuals, and it reports 3,841 individual clients. By Form ADV it is a broker-dealer firm, ranked 161st of 391 broker-dealer firms and 4,912th of 17,210 SEC-registered advisers by assets.
Main office 800-595-7722associatedbank.comAs filed on Form ADV
- Regulatory AUM
- $1.2B
- Rank among broker-dealer firms
- #161 of 391
- Rank among all SEC RIAs
- #4,912 of 17,210
- Rank in Wisconsin
- #47 of 195
- Individual clients
- 3,841
- High-net-worth clients
- 577
- Accounts
- 5,422
- Discretionary
- 0% of AUM
- Employees
- 60
- Advisory staff
- 27
- Offices
- 36
Owners and executives on its Form ADV
- Beth Ann CravillionDirector of Support Services
- Michael David KuipersDirector, President & CEO
- Anthony Philip PecoraChief Compliance Officer
- Michael Robert HochholzerDirector, Board of Directors
- Dennis Michael DeloyeDirector, Board of Directors
- Andrew James ArnoldDirector, Treasurer
- Jayne Clara HladioDirector, Board of Directors
- Steven Sia ZandpourDirector, Board of Directors
- Heath William SorensonChairman, Board of Directors
- Justin Michael BiesePrincipal, Financial Reporting
Custody and brokerage
Broker-dealer
Hybrid RIA
Associated Investment Services, Inc. is a hybrid RIA: 48 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 3,264 | $712M | 61% |
| High-net-worth individuals | 577 | $453M | 39% |
| State or municipal government entities | – | $2M | <1% |
| Charitable organizations | 5 | $2M | <1% |
| Corporations or other businesses | 6 | $2M | <1% |
Disciplinary disclosures
Associated Investment Services, Inc. answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗associatedbank.com ↗
AtlasMembers
The full record on Associated Investment Services, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 117 peers of its type and size
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- Owners and executives, with titles and stakes
- 10 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Associated Investment Services, Inc. manage?
Associated Investment Services, Inc. reports $1.2 billion in regulatory assets under management across 5,422 accounts, on its Form ADV filed October 1, 2026.
What kind of firm is Associated Investment Services, Inc.?
Associated Investment Services, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Associated Investment Services, Inc.’s clients?
By assets, its largest client types are individuals ($712 million, 3,264 clients); high-net-worth individuals ($453 million, 577 clients); state or municipal government entities ($2 million).
Does Associated Investment Services, Inc. have any disciplinary history?
Associated Investment Services, Inc. answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Associated Investment Services, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-06), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →