Firm Info
Firm Size
Services Offered
- Financial Planning
- Portfolio Management for Individuals & Small Businesses
- Publication of Periodicals or Newsletters
- Educational Seminars & Workshops
Types of Clients
- Individuals (Not High Net Worth)
-
Individuals High Net Worth
*>=750k in Investable Assets or >=1.5m of Estimated Total Net Worth
- Corporations or Other Businesses Not Listed Above
Available Fee Structures
- Percentage of Assets Under Management (AUM)
The Appleton Group, LLC Overview
The Appleton Group, LLC is a registered investment advisory firm that provides investment advice only. The firm is based in Appleton, WI and has been in business since 2003. The Appleton Group operates on a fee-only basis, which means clients pay for the services provided by the firm, not the products recommended. The firm offers a wide range of financial planning services, including portfolio management for individuals and small businesses. The Appleton Group's experienced team of professionals works closely with clients to develop personalized investment strategies that help achieve their goals, whether it's saving for retirement or building wealth over time. In addition to financial planning and portfolio management, The Appleton Group also publishes periodicals and newsletters to keep clients up-to-date on the latest investment trends and market developments. The firm also offers educational seminars and workshops to help clients make informed investment decisions and stay on top of their financial goals. Overall, The Appleton Group, LLC is a trusted and experienced investment advisory firm that provides the expertise and guidance necessary to help clients achieve their financial goals and build wealth over the long-term.
The Appleton Group, LLC caters to a diverse range of clients, including individuals, high net worth individuals, and various other corporation types that are not listed. Known for their exceptional customer service and expertise, the firm takes pride in serving a wide variety of clients who entrust them with their investment portfolios and financial assets. When it comes to fee structures, The Appleton Group, LLC offers various options depending on the service provided. One of their popular fee structures is a percentage of AUM, which stands for assets under management. This means that the fee charged is a percentage of the assets that the firm manages on behalf of their clients. Additionally, other fee structures such as hourly rates, flat fees, or a combination of both can be negotiated between the client and the firm. The Appleton Group, LLC takes a customized approach to their fee structures, ensuring that clients receive transparent and fair pricing that reflects their unique financial goals and investment strategies.
Typical Clients, Fee Structures & Investment Minimum
The Appleton Group, LLC, states in their Part 2 Brochure that they manage separate accounts exclusively on a discretionary trading basis. The brochure notes that the firm's minimum investment amount for establishing and maintaining an account is $200,000. Therefore, clients interested in investing with The Appleton Group, LLC, must be willing and able to invest at least $200,000 in order to open and maintain an account with the firm.
How This Office Can Help Outagamie County, WI Residents
The Appleton Group LLC provides a wide range of financial services to clients in Outagamie County, WI. Their services include investment management, estate planning, tax planning, retirement planning, and more. They tailor their services to meet the needs of each client, based on their financial goals and current situation. Outagamie County residents may face a variety of financial situations, from planning for retirement to managing debt and expenses. The Appleton Group LLC can help clients with all of these situations and more. For example, they can help clients plan for retirement by creating a personalized investment strategy that will help them achieve their retirement goals. They can also help clients manage their debt by providing debt management solutions that reduce interest rates and monthly payments. Additionally, the Appleton Group LLC can provide tax planning services to help clients save money on their taxes and maximize their deductions. With their expert guidance, residents of Outagamie County can feel more confident and secure in their financial future.
Services Offered by The Appleton Group, LLC
Core Advisor Services
Financial Planning
Financial planning services encompass the process of devising strategies for your future financial well-being, including preparing for events such as retirement, funding your child's college education, or planning for the transfer of assets.
Portfolio Management for Individuals & Small Businesses
Portfolio management entails the careful selection and strategic management of investment combinations tailored to meet the needs of individuals and small businesses.
Market Timing Services
Market timing services involve the endeavor to generate short-term profits from investments by capitalizing on opportunities to buy at low prices and sell at high prices.
Other Services
Selection of Other Advisors
The firm provides support in selecting and engaging other advisors who possess specialized expertise to complement your financial needs.
Publication of Periodicals or Newsletters
The firm engages in the dissemination of diverse financial educational materials through the publication of periodicals.
Educational Seminars & Workshops
The firm organizes and conducts seminars or workshops aimed at enlightening investors on various financial concepts.
Fee Structures
Financial advisory fees usually are based on the services provided. Fee types charged by The Appleton Group, LLC most likely consist of the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm.
Available
Percentage of Assets Under Management (AUM)
This fee structure charges a percentage of the assets under management by the firm. Fee structures are often tiered based on the amount of assets managed, with higher AUM often charged a lower rate.
Between 0.50% and 2.00% of assets under management (annually), often lower for a robo advisor. Fees are typically charged quarterly by the firm and will show on your investment statement. View typical advisor costs here.
~96% of registered firms offer this fee structure.
If you have $1 million managed by a firm at a 1% management fee, you would be charged $10,000/year to manage your assets (or $2,500 per quarter). This would be automatically deducted from your investment portfolio.
Unavailable
Hourly
Similar to an attorney, a financial consultant might charge fees based on hourly rates. This fee structure can be advantageous when seeking specific or ad hoc advice.
Charges generally span from $150 to $400 per hour, depending on the extent of the services required.
~33% of registered firms offer this fee structure.
If you needed hourly consulting to sell a business or transfer your estate to your children but did not want your assets managed by a firm, you could consult a firm at an hourly rate to answer any questions you may have.
Subscription (Newsletter or Periodical)
Fixed Fees (Other than subscription)
Fixed fees are a one-time, lump-sum payment rendered for a specific service, such as creating a financial plan without ongoing management or implementation. This option is beneficial if you solely require guidance for a particular objective rather than a long-term consultancy or asset management.
Fixed fees for creating a financial plan often range from $1,000 to $3,000.
~49% of registered firms offer this fee structure.
If you did not want a firm to manage your assets but needed to create a retirement plan, life transition plan such as divorce or loss of a spouse, estate transition plan, business financial plan, or any other financial planning, you could consult with an RIA firm to help you with the creation of that plan.
Commissions
Occasionally, advisors are compensated through commissions by selling certain financial products, such as mutual funds or life insurance policies, or as a broker-dealer by facilitating the buying and selling of securities. Advisors who receive commissions may be incentivized to make specific suggestions to clients in order to secure a commission. Advisors who operate on a fee-only basis do not earn commissions, whereas fee-based advisors may do so.
Often 3% - 6% of the value of the security.
Only ~3% of registered firms say they offer this fee structure, but other advisors may receive “soft dollars”. Many mutual funds charge 12b-1 fees to cover the promoting and selling of the fund’s shares. While your advisor does not charge these fees, they may receive a kickback for recommending the investment.
An advisor selling their client on a life insurance policy and receiving a commission on the sale of that policy, or recommending a specific investment and receiving a kickback for that recommendation.
Performance-based Fees
Advisors typically obtain performance-based fees if a portfolio surpasses a predefined benchmark. This fee is determined through various methods, but is most commonly assessed as a percentage of investment gains. Performance-based fees may incentivize advisors to undertake riskier decisions in pursuit of generating higher returns.
“Two and Twenty” is common among hedge funds with a 2% management fee and a 20% incentive fee above the “hurdle rate,” or performance threshold the fund is compared against.
32% of registered firms offer this fee structure.
A hedge fund earns a 15% return with a 20% performance fee in above the performance of the S&P 500, which grew 7% that same year.
20% of fund growth in excess of S&P 500’s 7% growth for that year = 15% hedge fund growth - 7% S&P 500 growth = 8% difference x 20% = 2% performance fee (in addition to the management fee).
Other
Firms occasionally offer unconventional fee structures when charging clients. For more detailed information about a firm’s specific fee structures, please refer to their Form ADV and Part 2 Brochure.
Types of Clients
*The Securities & Exchange Commission defines someone as “high net worth” if they have $750,000 or more in investable assets or $1.5M of estimated total net worth.
This Office Location
Other Office Locations
This firm has no other locations.
State Registrations
The Appleton Group, LLC is registered to service clients in the following states:
- Illinois
- Wisconsin
Disciplinary History
The Appleton Group, LLC does not have any disclosures. Please visit it's Form ADV for more details.