Wealth manager, independent · Lake Geneva, WI
Form Wealth Advisors, LLC
SEC-registered investment adviser · CRD 326519 · SEC 801-131059
At a glance
Form Wealth Advisors, LLC is an SEC-registered investment adviser based in Lake Geneva, Wisconsin, with $1.1B in regulatory assets under management as of its Form ADV filed March 11, 2026. It reports 771 individual clients, 142 of them high-net-worth, holding an average of about $1.3 million each, and 16 employees. That ranks it 1045th among the nation’s 5,657 independent wealth management RIAs and 16th of 97 in Wisconsin. It reports Raymond James as the custodian for its clients’ separately managed accounts.
Main office 262-686-3005formwealth.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.1B
- Rank among independent wealth managers
- #1,045 of 5,657
- Rank among all SEC RIAs
- #5,208 of 17,210
- Rank in Wisconsin
- #16 of 97
- Individual clients
- 771
- High-net-worth clients
- 142
- Accounts
- 2,724
- Discretionary
- 95% of AUM
- Employees
- 16
- Advisory staff
- 8
- Offices
- 2
Owners and executives on its Form ADV
- Tyson J. RayCEO
- Kimberly S. CochenourChief Compliance Officer & Chief Operations Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
Form Wealth Advisors, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 142 | $586M | 56% |
| Individuals | 629 | $411M | 39% |
| Pension and profit sharing plans | 7 | $50M | 5% |
| Charitable organizations | 14 | $9M | <1% |
| Business development companies | 2 | $0M | <1% |
Disciplinary disclosures
Form Wealth Advisors, LLC 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
- Portfolio management for businesses and institutions
- Pension consulting
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗formwealth.com ↗
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The full record on Form Wealth Advisors, LLC
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, 2 years of filings
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- Growth over one, three and five years
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- Rank against 3,403 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 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.
Similar-size RIAs in Wisconsin
All of Wisconsin →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Kerberrose Wealth Management, LLCShawano | $1.2B | 1,554 |
| Canopy Wealth ManagementMiddleton | $1.2B | 592 |
| Goldstein Advisors, LLCMadison | $1.1B | 1,069 |
| Walkner Condon Financial Advisors LLCVerona | $1.0B | 799 |
| McGlone Suttner Wealth Management, Inc.Appleton | $1.0B | 708 |
Background
Questions
How much does Form Wealth Advisors, LLC manage?
Form Wealth Advisors, LLC reports $1.1B in regulatory assets under management across 2,724 accounts, 95% of it on a discretionary basis, on its Form ADV filed March 11, 2026.
How many clients does Form Wealth Advisors, LLC have?
It reports 771 individual clients: 142 high-net-worth individuals and 629 other individuals. Individuals account for about 94% of its regulatory assets.
Where is Form Wealth Advisors, LLC headquartered?
Its main office is in Lake Geneva, Wisconsin. It reports 2 offices in total and 16 employees, 8 of whom perform investment advisory functions.
How does Form Wealth Advisors, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Form Wealth Advisors, LLC use?
It reports Raymond James as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed March 11, 2026, it reports these amounts held: Raymond James ($1.0B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Form Wealth Advisors, LLC a hybrid RIA with a broker-dealer?
Form Wealth Advisors, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Form Wealth Advisors, LLC a fiduciary?
As an SEC-registered investment adviser, Form Wealth Advisors, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Form Wealth Advisors, LLC’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 (2026-03-11), 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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →