SEC-registered wealth management firm Broker-dealer affiliated
Schamberger, Greylak & Utterback Wealth Management, LLC
As of its Form ADV filed September 8, 2026, Schamberger, Greylak & Utterback Wealth Management, LLC, an SEC-registered, broker-dealer affiliated wealth management firm in La Crosse, Wisconsin, reported $236.4 million in regulatory assets under management across 902 accounts, ranking #91 among all wealth firms in Wisconsin by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 319298
- SEC file number
- 801-124799
- Registered since
- May 2, 2022
- Latest Form ADV filing
- September 8, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 3
Key figures
- Regulatory assets under management
- $236.4 million
- Discretionary
- $236.4 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 902 (902 discretionary)
- Clients
- 636, approximate as reported
- Employees
- 7
- Advisory staff
- 5 performing investment advisory functions
- Average account
- $262,126
- Asset growth, 1 year
- -13.2% (from $272.4 million a year earlier)
- Asset growth, 3-year annual rate
- 4.5% (from $207.5 million three years earlier)
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- -23.5% (from 831)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 3, 2022 | $258.2 million |
| October 5, 2023 | $207.5 million |
| October 1, 2024 | $230.4 million |
| September 2, 2025 | $272.4 million |
| October 2, 2026 | $236.4 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 184 clients | $142.7 million | |
| Individuals (other than high net worth) 438 clients | $85.8 million | |
| Corporations or other businesses fewer than 5 clients | $4.1 million | |
| Charitable organizations fewer than 5 clients | $3.8 million | |
| Pension and profit sharing plans fewer than 5 clients | $58,635 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Commissions
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
Financial planning clients (Item 5.H): 11-25.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Registered representative of a broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported custody of client cash or securities, $71.6 million in total.
Investment adviser representatives
- IARs registered with the firm
- 5
- Also registered through a broker-dealer
- 5
- Employees who are IARs (Form ADV 5.B(3))
- 5
Designations held by the firm's IARs: CFP 1.
5 of the firm's 5 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Wisconsin
| Firm | City | RAUM |
|---|---|---|
| The Kieckhefer Group | Mequon | $240.8 million |
| Direct Financial Care | Black Earth | $232.6 million |
| Review Services Inc | Brookfield | $227.4 million |
| Retirement Wealth Solutions LLC | Marshfield | $227.0 million |
| Denali Wealth Management, Inc. | Mequon | $226.1 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Schamberger, Greylak & Utterback Wealth Management, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.greylakwealth.com
- Wealth management firms in Wisconsin
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.