SVA WEALTH MANAGEMENT, LLC

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SVA Wealth Management is based out of Madison. SVA Wealth Management is a large advisory firm with 1344 clients and discretionary assets under management (AUM) of $2,647,398,072 (Form ADV from 2019-05-01). Their last reported 13F filing for Q3 2019 included $1,019,435,000 in managed 13F securities and a top 10 holdings concentration of 51.05%. SVA Wealth Management's largest holding is iShares 7-10 Year Treasury Bond ETF with shares held of 866,646. SVA Wealth Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 24 13F filings, and 5 13G filings

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67

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $1.019 Billion
  • Prior Market Value $1.016 Billion
  • New Purchases5 stocks
  • Additional Purchases71 stocks
  • Sold out of12 stocks
  • Reduced holdings in92 stocks
  • Top 10 Holdings % 51.05 %
  • Turnover % [1]:8.54%
  • Turnover Alt % [2]: 1.73 %
  • Time Held Top20:12.80 quarters
  • Time Held Top10:12.00 quarters
  • Time Held All:16.09 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: 7.43%
Performance Last 4 Quarters: 13.05%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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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)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

SVA WEALTH MANAGEMENT, LLC
1221 JOHN Q HAMMONS DRIVE
MADISON WI    53717-4966
Country: United States

Business Phone: 608-824-8800
Fax: 608-824-2101
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: WI
Number of employees: 63
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 1,171,420,000
Total Number of Clients: 1344
Amount of client funds and securities by related persons: 427,880,000
Total Number of clients from related persons: 164
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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SVA WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-09-12
Name Title Start Date Direct/Indirect % Ownership
SVA FINANCIAL GROUP, LLC MANAGING MEMBER 03/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
SVA WEALTH MANAGEMENT, INC. SOLE MEMBER direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC SOLE MEMBER indirect 2011-03-01
WISCONSIN CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC MANAGING MEMBER direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC SOLE MEMBER direct 2011-03-01
OBRIEN, TIMOTHY, ROCK VICE PRESIDENT 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT/DIRECTOR direct 2011-03-01
THOMPSON PLUMB & ASSOCIATES INC VICE PRESIDENT direct 2004-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT AND DIRECTOR direct 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR, MEMBER indirect 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT AND DIRECTOR AND NON-VOTING MEMBER direct 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT direct 2011-02-01
WCM, INC. VICE PRESIDENT direct 2005-01-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/VICE PRESIDENT direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT/DIRECTOR direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2011-03-01
BALTES, JOHN, ANTHONY CHIEF EXECUTIVE OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER direct 2016-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2016-06-01
SVA PLANNERS INC DIRECTOR direct 2001-06-01 2006-01-11
SVA WEALTH MANAGEMENT, INC. DIRECTOR, SHAREHOLDER direct 2001-06-01 2008-02-29
SVA WEALTH MANAGEMENT, INC. SHAREHOLDER/DIRECTOR direct 2001-06-01 2010-02-19
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2011-02-01 2013-02-28
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/SECRETARY direct 2011-03-01 2013-02-28
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-06-01 2013-02-28
HANSEN, MAUREEN, ELLEN PRESIDENT 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2013-09-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2017-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/VICE PRESIDENT direct 2017-06-01
OSWALD, DEBRA, LYNN VICE PRESIDENT 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2015-09-01
GIBSON, DANIEL, GUYAN VICE PRESIDENT 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2018-09-01
CLAY, LAWRENCE, WILLIAM CHIEF COMPLIANCE OFFICER 06/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREAT VALLEY ADVISOR GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2016-11-01
DIVERSIFIED SERVICES OF WISCONSIN, INC. MEMBER SVA FINANCIAL GROUP, LLC 03/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SVA WEALTH MANAGEMENT, INC. MEMBER indirect 2011-03-01
WISCONSIN CAPITAL MANAGEMENT, LLC VOTING MEMBER direct 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC MEMBER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC MEMBER indirect 2011-03-01
SCHULTZ, CARL, ELMER ELECTED MANAGER SVA FINANCIAL GROUP, LLC 06/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
SVA WEALTH MANAGEMENT, INC. SECRETARY/DIRECTOR direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/CHAIRPERSON direct 2013-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2013-06-01
SVA PLANNERS INC SHAREHOLDER, DIRECTOR direct 1990-06-01 2008-02-29
SVA WEALTH MANAGEMENT, INC. SHAREHOLDER/DIRECTOR direct 1990-06-01 2010-02-19
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01 2011-06-20
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01 2011-08-30
SVA PLUMB WEALTH MANAGEMENT, LLC SECRETARY/DIRECTOR direct 2011-03-01 2011-10-14
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2013-06-01 2014-08-21
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR direct 2014-07-01 2014-08-21
HANSEN, MAUREEN, ELLEN ELECTED MANAGER SVA FINANCIAL GROUP, LLC 06/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2013-09-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2017-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/VICE PRESIDENT direct 2017-06-01
BALTES, JOHN, ANTHONY ELECTED MANAGER SVA FINANCIAL GROUP, LLC 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER direct 2016-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2016-06-01
SVA PLANNERS INC DIRECTOR direct 2001-06-01 2006-01-11
SVA WEALTH MANAGEMENT, INC. DIRECTOR, SHAREHOLDER direct 2001-06-01 2008-02-29
SVA WEALTH MANAGEMENT, INC. SHAREHOLDER/DIRECTOR direct 2001-06-01 2010-02-19
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2011-02-01 2013-02-28
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/SECRETARY direct 2011-03-01 2013-02-28
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-06-01 2013-02-28
NORTON, KATHRYN, LEE ELECTED MANAGER SVA FINANCIAL GROUP, LLC 06/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR direct 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01
THOMPSON PLUMB & ASSOCIATES INC VICE PRESIDENT direct 2001-05-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR direct 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/TREASURER direct 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/TREASURER direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR/TREASURER direct 2011-03-01
NETTESHEIM, JOEL, G ELECTED MANAGER SVA FINANCIAL GROUP, LLC 06/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
SVA WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2019-06-01

SVA WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-06-03
Name Title Start Date Direct/Indirect % Ownership
SVA FINANCIAL GROUP, LLC MANAGING MEMBER 03/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
SVA WEALTH MANAGEMENT, INC. SOLE MEMBER direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC SOLE MEMBER indirect 2011-03-01
WISCONSIN CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC MANAGING MEMBER direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC SOLE MEMBER direct 2011-03-01
OBRIEN, TIMOTHY, ROCK VICE PRESIDENT 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT/DIRECTOR direct 2011-03-01
THOMPSON PLUMB & ASSOCIATES INC VICE PRESIDENT direct 2004-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT AND DIRECTOR direct 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR, MEMBER indirect 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT AND DIRECTOR AND NON-VOTING MEMBER direct 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT direct 2011-02-01
WCM, INC. VICE PRESIDENT direct 2005-01-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/VICE PRESIDENT direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT/DIRECTOR direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2011-03-01
REDMAN, CONNIE, MARIE CHIEF COMPLIANCE OFFICER 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMPSON PLUMB & ASSOCIATES INC VICE PRESIDENT AND SECRETARY direct 2004-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT AND SECRETARY direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, INC. VICE PRESIDENT AND SECRETARY direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT AND SECRETARY direct 2005-11-01
WCM, INC. VICE PRESIDENGT & SECRETARY direct 2005-01-01
WCM, INC. CHIEF COMPLIANCE OFFICER AND VICE PRESIDENGT & SECRETARY direct 2005-11-01
SVA PLUMB WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
BALTES, JOHN, ANTHONY CHIEF EXECUTIVE OFFICER 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER direct 2016-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2016-06-01
SVA PLANNERS INC DIRECTOR direct 2001-06-01 2006-01-11
SVA WEALTH MANAGEMENT, INC. DIRECTOR, SHAREHOLDER direct 2001-06-01 2008-02-29
SVA WEALTH MANAGEMENT, INC. SHAREHOLDER/DIRECTOR direct 2001-06-01 2010-02-19
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2011-02-01 2013-02-28
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/SECRETARY direct 2011-03-01 2013-02-28
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-06-01 2013-02-28
HANSEN, MAUREEN, ELLEN PRESIDENT 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2013-09-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2017-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/VICE PRESIDENT direct 2017-06-01
OSWALD, DEBRA, LYNN VICE PRESIDENT 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2015-09-01
GIBSON, DANIEL, GUYAN VICE PRESIDENT 09/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2018-09-01
DIVERSIFIED SERVICES OF WISCONSIN, INC. MEMBER SVA FINANCIAL GROUP, LLC 03/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SVA WEALTH MANAGEMENT, INC. MEMBER indirect 2011-03-01
WISCONSIN CAPITAL MANAGEMENT, LLC VOTING MEMBER direct 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC MEMBER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC MEMBER indirect 2011-03-01
SCHULTZ, CARL, ELMER ELECTED MANAGER SVA FINANCIAL GROUP, LLC 06/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
SVA WEALTH MANAGEMENT, INC. SECRETARY/DIRECTOR direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/CHAIRPERSON direct 2013-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2013-06-01
SVA PLANNERS INC SHAREHOLDER, DIRECTOR direct 1990-06-01 2008-02-29
SVA WEALTH MANAGEMENT, INC. SHAREHOLDER/DIRECTOR direct 1990-06-01 2010-02-19
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01 2011-06-20
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01 2011-08-30
SVA PLUMB WEALTH MANAGEMENT, LLC SECRETARY/DIRECTOR direct 2011-03-01 2011-10-14
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2013-06-01 2014-08-21
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR direct 2014-07-01 2014-08-21
HANSEN, MAUREEN, ELLEN ELECTED MANAGER SVA FINANCIAL GROUP, LLC 06/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2013-09-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2017-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/VICE PRESIDENT direct 2017-06-01
BALTES, JOHN, ANTHONY ELECTED MANAGER SVA FINANCIAL GROUP, LLC 06/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER direct 2016-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2016-06-01
SVA PLANNERS INC DIRECTOR direct 2001-06-01 2006-01-11
SVA WEALTH MANAGEMENT, INC. DIRECTOR, SHAREHOLDER direct 2001-06-01 2008-02-29
SVA WEALTH MANAGEMENT, INC. SHAREHOLDER/DIRECTOR direct 2001-06-01 2010-02-19
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2011-02-01 2013-02-28
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/SECRETARY direct 2011-03-01 2013-02-28
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-06-01 2013-02-28
NORTON, KATHRYN, LEE ELECTED MANAGER SVA FINANCIAL GROUP, LLC 06/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR direct 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01
THOMPSON PLUMB & ASSOCIATES INC VICE PRESIDENT direct 2001-05-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR direct 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/TREASURER direct 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/TREASURER direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR/TREASURER direct 2011-03-01
NETTESHEIM, JOEL, G ELECTED MANAGER SVA FINANCIAL GROUP, LLC 06/01/2019 Indirect Other
Fund Name Position direct/indirect start date end date
SVA WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2019-06-01

SVA PLUMB WEALTH MANAGEMENT, LLC

ownership team - last updated 2018-05-23
Name Title Start Date Direct/Indirect % Ownership
SVA PLUMB FINANCIAL, LLC MANAGING MEMBER 03/01/2011 Direct 75% or more
Fund Name Position direct/indirect start date end date
SVA WEALTH MANAGEMENT, INC. SOLE MEMBER direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC SOLE MEMBER indirect 2011-03-01
WISCONSIN CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC MANAGING MEMBER direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC SOLE MEMBER direct 2011-03-01
PLUMB, THOMAS, GERALD ELECTED MANAGER/CEO 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
WCM, INC. PRESIDENT & TREASURER direct 2005-01-01
WCM, INC. OWNER indirect 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT, MANAGING MEMBER direct 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/PRESIDENT/CEO direct 2011-03-01
SVA WEALTH MANAGEMENT, INC. PRESIDENT/DIRECTOR direct 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC SHAREHOLDER, ELECTED MANAGER indirect 2011-03-01
THOMPSON PLUMB & ASSOCIATES INC VICE PRESIDENT direct 1997-01-01 2003-11-12
THOMPSON PLUMB & ASSOCIATES INC PRESIDENT AND DIRECTOR direct 2004-01-01 2004-03-26
THOMPSON PLUMB & ASSOCIATES INC PRESIDENT AND CHAIRMAN direct 2004-01-01 2004-10-05
WCM, INC. I indirect 2005-01-01 2004-11-29
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT AND CHAIRMAN direct 2005-01-01 2010-04-14
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01 2011-06-20
SVA PLUMB WEALTH MANAGEMENT, LLC PRESIDENT/DIRECTOR direct 2011-03-01 2011-10-14
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/PRESIDENT direct 2011-03-01 2011-12-05
SVA PLUMB WEALTH MANAGEMENT, LLC SHAREHOLDER indirect 2011-03-01 2012-08-21
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT AND DIRECTOR direct 2011-02-01 2014-04-25
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01 2014-08-21
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT direct 2011-02-01 2017-09-07
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT, MANAGER direct 2011-02-01 2017-09-21
OBRIEN, TIMOTHY, ROCK VICE PRESIDENT 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT/DIRECTOR direct 2011-03-01
THOMPSON PLUMB & ASSOCIATES INC VICE PRESIDENT direct 2004-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT AND DIRECTOR direct 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR, MEMBER indirect 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT AND DIRECTOR AND NON-VOTING MEMBER direct 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT direct 2011-02-01
WCM, INC. VICE PRESIDENT direct 2005-01-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/VICE PRESIDENT direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT/DIRECTOR direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2011-03-01
REDMAN, CONNIE, MARIE CHIEF COMPLIANCE OFFICER 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMPSON PLUMB & ASSOCIATES INC VICE PRESIDENT AND SECRETARY direct 2004-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT AND SECRETARY direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, INC. VICE PRESIDENT AND SECRETARY direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT AND SECRETARY direct 2005-11-01
WCM, INC. VICE PRESIDENGT & SECRETARY direct 2005-01-01
WCM, INC. CHIEF COMPLIANCE OFFICER AND VICE PRESIDENGT & SECRETARY direct 2005-11-01
SVA PLUMB WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
SCHULTZ, CARL, ELMER ELECTED MANAGER/CHAIRPERSON 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA WEALTH MANAGEMENT, INC. SECRETARY/DIRECTOR direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/CHAIRPERSON direct 2013-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2013-06-01
SVA PLANNERS INC SHAREHOLDER, DIRECTOR direct 1990-06-01 2008-02-29
SVA WEALTH MANAGEMENT, INC. SHAREHOLDER/DIRECTOR direct 1990-06-01 2010-02-19
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01 2011-06-20
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01 2011-08-30
SVA PLUMB WEALTH MANAGEMENT, LLC SECRETARY/DIRECTOR direct 2011-03-01 2011-10-14
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2013-06-01 2014-08-21
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR direct 2014-07-01 2014-08-21
KRUMHOLZ, KURT, GERARD ELECTED MANAGER/VICE PRESIDENT 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2014-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/VICE PRESIDENT direct 2014-03-01
SVA PLANNERS INC SHAREHOLDER direct 2000-09-01 2001-01-26
SVA PLANNERS INC SHAREHOLDER, VICE PRESIDENT direct 2001-06-01 2003-03-19
SVA PLANNERS INC SHAREHOLDER AND PRESIDENT direct 2003-07-01 2006-01-11
SVA PLANNERS INC SHAREHOLDER, VICE PRESIDENT direct 2003-07-01 2007-03-28
SVA WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER, VICE PRESIDENT direct 2003-07-01 2007-06-01
SVA WEALTH MANAGEMENT, INC. VICE PRESIDENT direct 2003-07-01 2008-01-30
SVA WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER/ VP direct 2003-07-01 2008-02-29
SVA WEALTH MANAGEMENT, INC. SHAREHOLDER/VICE PRESIDENT direct 2003-07-01 2010-02-19
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER direct 2014-03-01 2014-08-20
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2014-03-01 2014-08-21
BALTES, JOHN, ANTHONY ELECTED MANAGER 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER direct 2016-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2016-06-01
SVA PLANNERS INC DIRECTOR direct 2001-06-01 2006-01-11
SVA WEALTH MANAGEMENT, INC. DIRECTOR, SHAREHOLDER direct 2001-06-01 2008-02-29
SVA WEALTH MANAGEMENT, INC. SHAREHOLDER/DIRECTOR direct 2001-06-01 2010-02-19
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2011-02-01 2013-02-28
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/SECRETARY direct 2011-03-01 2013-02-28
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-06-01 2013-02-28
HANSEN, MAUREEN, ELLEN ELECTED MANAGER/PRESIDENT 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2013-09-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2017-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/VICE PRESIDENT direct 2017-06-01
OSWALD, DEBRA, LYNN VICE PRESIDENT 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2015-09-01
NORTON, KATHRYN, LEE ELECTED MANAGER/TREASURER 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR direct 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01
THOMPSON PLUMB & ASSOCIATES INC VICE PRESIDENT direct 2001-05-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR direct 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/TREASURER direct 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/TREASURER direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR/TREASURER direct 2011-03-01
DIVERSIFIED SERVICES OF WISCONSIN, INC. MEMBER SVA PLUMB FINANCIAL, LLC 03/01/2011 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SVA WEALTH MANAGEMENT, INC. MEMBER indirect 2011-03-01
WISCONSIN CAPITAL MANAGEMENT, LLC VOTING MEMBER direct 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC MEMBER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC MEMBER indirect 2011-03-01
TGP, INC MEMBER SVA PLUMB FINANCIAL, LLC 03/01/2011 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC MEMBER indirect 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC MEMBER direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC MEMBER indirect 2011-03-01
WISCONSIN CAPITAL MANAGEMENT, LLC VOTING MEMBER direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, INC. MEMBER direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC SOLE OWNER direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC MEMBER indirect 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC SOLE OWNER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC MEMBER indirect 2011-03-01
PLUMB, THOMAS, GERALD SHAREHOLDER TGP, INC 01/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WCM, INC. PRESIDENT & TREASURER direct 2005-01-01
WCM, INC. OWNER indirect 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT, MANAGING MEMBER direct 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/PRESIDENT/CEO direct 2011-03-01
SVA WEALTH MANAGEMENT, INC. PRESIDENT/DIRECTOR direct 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC SHAREHOLDER, ELECTED MANAGER indirect 2011-03-01
THOMPSON PLUMB & ASSOCIATES INC VICE PRESIDENT direct 1997-01-01 2003-11-12
THOMPSON PLUMB & ASSOCIATES INC PRESIDENT AND DIRECTOR direct 2004-01-01 2004-03-26
THOMPSON PLUMB & ASSOCIATES INC PRESIDENT AND CHAIRMAN direct 2004-01-01 2004-10-05
WCM, INC. I indirect 2005-01-01 2004-11-29
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT AND CHAIRMAN direct 2005-01-01 2010-04-14
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01 2011-06-20
SVA PLUMB WEALTH MANAGEMENT, LLC PRESIDENT/DIRECTOR direct 2011-03-01 2011-10-14
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/PRESIDENT direct 2011-03-01 2011-12-05
SVA PLUMB WEALTH MANAGEMENT, LLC SHAREHOLDER indirect 2011-03-01 2012-08-21
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT AND DIRECTOR direct 2011-02-01 2014-04-25
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01 2014-08-21
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT direct 2011-02-01 2017-09-07
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT, MANAGER direct 2011-02-01 2017-09-21
NORTON, KATHRYN, LEE ELECTED MANAGER SVA PLUMB WEALTH MANAGEMENT, LLC; SVA PLUMB FINANCIAL, LLC 02/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR direct 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01
THOMPSON PLUMB & ASSOCIATES INC VICE PRESIDENT direct 2001-05-01
WISCONSIN CAPITAL MANAGEMENT, LLC VICE PRESIDENT direct 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR direct 2011-02-01
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/TREASURER direct 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/TREASURER direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR/TREASURER direct 2011-03-01
SCHULTZ, CARL, ELMER ELECTED MANAGER SVA PLUMB WEALTH MANAGEMENT, LLC; SVA PLUMB FINANCIAL, LLC 06/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
SVA WEALTH MANAGEMENT, INC. SECRETARY/DIRECTOR direct 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/CHAIRPERSON direct 2013-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2013-06-01
SVA PLANNERS INC SHAREHOLDER, DIRECTOR direct 1990-06-01 2008-02-29
SVA WEALTH MANAGEMENT, INC. SHAREHOLDER/DIRECTOR direct 1990-06-01 2010-02-19
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01 2011-06-20
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01 2011-08-30
SVA PLUMB WEALTH MANAGEMENT, LLC SECRETARY/DIRECTOR direct 2011-03-01 2011-10-14
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2013-06-01 2014-08-21
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR direct 2014-07-01 2014-08-21
KRUMHOLZ, KURT, GERARD ELECTED MANAGER SVA PLUMB WEALTH MANAGEMENT, LLC SVA PLUMB FINANCIAL, LLC 03/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2014-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/VICE PRESIDENT direct 2014-03-01
SVA PLANNERS INC SHAREHOLDER direct 2000-09-01 2001-01-26
SVA PLANNERS INC SHAREHOLDER, VICE PRESIDENT direct 2001-06-01 2003-03-19
SVA PLANNERS INC SHAREHOLDER AND PRESIDENT direct 2003-07-01 2006-01-11
SVA PLANNERS INC SHAREHOLDER, VICE PRESIDENT direct 2003-07-01 2007-03-28
SVA WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER, VICE PRESIDENT direct 2003-07-01 2007-06-01
SVA WEALTH MANAGEMENT, INC. VICE PRESIDENT direct 2003-07-01 2008-01-30
SVA WEALTH MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER/ VP direct 2003-07-01 2008-02-29
SVA WEALTH MANAGEMENT, INC. SHAREHOLDER/VICE PRESIDENT direct 2003-07-01 2010-02-19
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER direct 2014-03-01 2014-08-20
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2014-03-01 2014-08-21
HANSEN, MAUREEN, ELLEN ELECTED MANAGER SVA PLUMB WEALTH MANAGEMENT, LLC/SVA PLUMB FINANCIAL, LLC 06/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2013-09-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2017-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/VICE PRESIDENT direct 2017-06-01
BALTES, JOHN, ANTHONY ELECTED MANAGER SVA PLUMB WEALTH MANAGEMENT, LLC/SVA PLUMB FINANCIAL, LLC 06/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER direct 2016-06-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2016-06-01
SVA PLANNERS INC DIRECTOR direct 2001-06-01 2006-01-11
SVA WEALTH MANAGEMENT, INC. DIRECTOR, SHAREHOLDER direct 2001-06-01 2008-02-29
SVA WEALTH MANAGEMENT, INC. SHAREHOLDER/DIRECTOR direct 2001-06-01 2010-02-19
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER indirect 2011-02-01 2013-02-28
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/SECRETARY direct 2011-03-01 2013-02-28
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-06-01 2013-02-28
PLUMB, THOMAS, GERALD ELECTED MANAGER SVA PLUMB FINANCIAL, LLC 03/01/2011 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
WCM, INC. PRESIDENT & TREASURER direct 2005-01-01
WCM, INC. OWNER indirect 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2005-01-01
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT, MANAGING MEMBER direct 2011-02-01
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/PRESIDENT/CEO direct 2011-03-01
SVA WEALTH MANAGEMENT, INC. PRESIDENT/DIRECTOR direct 2011-03-01
SVA WEALTH MANAGEMENT, INC. DIRECTOR indirect 2011-03-01
SVA PLUMB WEALTH MANAGEMENT, LLC SHAREHOLDER, ELECTED MANAGER indirect 2011-03-01
THOMPSON PLUMB & ASSOCIATES INC VICE PRESIDENT direct 1997-01-01 2003-11-12
THOMPSON PLUMB & ASSOCIATES INC PRESIDENT AND DIRECTOR direct 2004-01-01 2004-03-26
THOMPSON PLUMB & ASSOCIATES INC PRESIDENT AND CHAIRMAN direct 2004-01-01 2004-10-05
WCM, INC. I indirect 2005-01-01 2004-11-29
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT AND CHAIRMAN direct 2005-01-01 2010-04-14
SVA PLUMB WEALTH MANAGEMENT, LLC DIRECTOR indirect 2011-03-01 2011-06-20
SVA PLUMB WEALTH MANAGEMENT, LLC PRESIDENT/DIRECTOR direct 2011-03-01 2011-10-14
SVA PLUMB WEALTH MANAGEMENT, LLC ELECTED MANAGER/PRESIDENT direct 2011-03-01 2011-12-05
SVA PLUMB WEALTH MANAGEMENT, LLC SHAREHOLDER indirect 2011-03-01 2012-08-21
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT AND DIRECTOR direct 2011-02-01 2014-04-25
WISCONSIN CAPITAL MANAGEMENT, LLC DIRECTOR indirect 2011-02-01 2014-08-21
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT direct 2011-02-01 2017-09-07
WISCONSIN CAPITAL MANAGEMENT, LLC PRESIDENT, MANAGER direct 2011-02-01 2017-09-21

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