Broker-dealer firm · Altoona, WI
Bernicke Wealth Management
Bernicke Wealth Management, LTD. · SEC-registered investment adviser · CRD 335431 · SEC 801-132485
At a glance
Bernicke Wealth Management is an SEC-registered investment adviser based in Altoona, Wisconsin, with $887 million in regulatory assets under management as of its Form ADV filed May 26, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 868 individual clients. By Form ADV it is a broker-dealer firm, ranked 173rd of 391 broker-dealer firms and 5,764th of 17,210 SEC-registered advisers by assets.
Main office 715-832-1173bernicke.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $887M
- Rank among broker-dealer firms
- #173 of 391
- Rank among all SEC RIAs
- #5,764 of 17,210
- Rank in Wisconsin
- #58 of 195
- Individual clients
- 868
- High-net-worth clients
- 355
- Accounts
- 2,606
- Discretionary
- 100% of AUM
- Employees
- 26
- Advisory staff
- 6
- Offices
- 4
Owners and executives on its Form ADV
- Ty A. BernickePrincipal
- Kristie L. WeberDirector of Wealth Services / CCO
- Paige E. LogslettDirector of Operations
Custody and brokerage
Broker-dealer
Hybrid RIA
Bernicke Wealth Management is a hybrid RIA: 6 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Private Client Services as the broker-dealer its advisers are registered with.
but some of our Investment Adviser Representatives (“IAR”) are registered representatives of Private Client Services (“ PCS”), a full -service broker -dealer, member FINRA/SIPC, which compensates them for effecting securities transactions.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 355 | $605M | 68% |
| Individuals | 513 | $234M | 26% |
| Charitable organizations | – | $48M | 5% |
Disciplinary disclosures
Bernicke Wealth Management reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗bernicke.com ↗
AtlasMembers
The full record on Bernicke Wealth Management
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, 1 years of filings
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- Growth over one, three and five years
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- Rank against 136 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Bernicke Wealth Management manage?
Bernicke Wealth Management reports $887 million in regulatory assets under management across 2,606 accounts, 100% of it on a discretionary basis, on its Form ADV filed May 26, 2026.
What kind of firm is Bernicke Wealth Management?
Bernicke Wealth Management 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.
Who are Bernicke Wealth Management’s clients?
By assets, its largest client types are high-net-worth individuals ($605 million, 355 clients); individuals ($234 million, 513 clients); charitable organizations ($48 million).
Does Bernicke Wealth Management have any disciplinary history?
Bernicke Wealth Management reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Bernicke Wealth Management’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 (2026-05-26), 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 →