ERN FINANCIAL, LLC

https://www.linkedin.com/company/canopy-wealth-management/ MIDDLETON, WI Investment Advisor How do I update this listing?

ERN Financial is based out of Middleton. ERN Financial is a large advisory firm with 411 clients and discretionary assets under management (AUM) of $555,629,281 (Form ADV from 2019-03-01). Their last reported 13F filing for Q3 2019 included $140,098,000 in managed 13F securities and a top 10 holdings concentration of 64.51%. ERN Financial's largest holding is SPDR Port Developed World ex-US ETF with shares held of 612,645. Whalewisdom has at least 4 13F filings

Download 13F Summary to Excel Create Email Alert

09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $140.098 Million
  • Prior Market Value $132.811 Million
  • New Purchases1 stock
  • Additional Purchases27 stocks
  • Sold out of0 stocks
  • Reduced holdings in14 stocks
  • Top 10 Holdings % 64.51 %
  • Turnover % [1]:1.72%
  • Turnover Alt % [2]: 5.46 %
  • Time Held Top20:2.65 quarters
  • Time Held Top10:2.40 quarters
  • Time Held All:2.76 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 4.96%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Security Types:

Refresh
*Shares are split adjusted
Click here to report any possible errors with this listing.
13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CANOPY WEALTH MANAGEMENT
8215 GREENWAY BOULEVARD SUITE 540
MIDDLETON WI    53562
Country: United States

Business Phone: 608-662-9018
Fax: 608-646-7796
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: MI
Number of employees: 8
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges
Amount of client funds and securities:
Total Number of Clients: 411
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

ERN FINANCIAL, LLC

ownership team - last updated 2019-03-01
Name Title Start Date Direct/Indirect % Ownership
Conwell, Scott, O CHIEF COMPLIANCE OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC CHIEF COMPLIANCE OFFICER direct 2018-06-01
MOOSHERR, ERNEST, PATRICK CHIEF EXECUTIVE OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC CHIEF EXECUTIVE OFFICER direct 2018-05-01
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01
RAETHER, ERIC, DAVID PRESIDENT 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC PRESIDENT direct 2018-05-01
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01
ERN MICHIGAN, INC. MEMBER 05/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC MEMBER direct 2018-05-01
ERN WISCONSIN, INC. MEMBER 05/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC MEMBER direct 2018-05-01
MOOSHERR, ERNEST, PATRICK MEMBER ERN MICHIGAN, INC. 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC CHIEF EXECUTIVE OFFICER direct 2018-05-01
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01
RAETHER, ERIC, DAVID MEMBER ERN WISCONSIN, INC. 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC PRESIDENT direct 2018-05-01
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01
MUEHL, DAVID, MICHAEL MEMBER ERN WISCONSIN, INC. 05/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01

ERN FINANCIAL, LLC

ownership team - last updated 2018-11-30
Name Title Start Date Direct/Indirect % Ownership
Conwell, Scott, O CHIEF COMPLIANCE OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC CHIEF COMPLIANCE OFFICER direct 2018-06-01
MOOSHERR, ERNEST, PATRICK CHIEF EXECUTIVE OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC CHIEF EXECUTIVE OFFICER direct 2018-05-01
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01
RAETHER, ERIC, DAVID PRESIDENT 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC PRESIDENT direct 2018-05-01
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01
ERN MICHIGAN, INC. MEMBER 05/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC MEMBER direct 2018-05-01
ERN WISCONSIN, INC. MEMBER 05/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC MEMBER direct 2018-05-01
MOOSHERR, ERNEST, PATRICK MEMBER ERN MICHIGAN, INC. 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC CHIEF EXECUTIVE OFFICER direct 2018-05-01
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01
RAETHER, ERIC, DAVID MEMBER ERN WISCONSIN, INC. 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC PRESIDENT direct 2018-05-01
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01
MUEHL, DAVID, MICHAEL MEMBER ERN WISCONSIN, INC. 05/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01

Elevate your investments