State-registered independent wealth management RIA
Bruce Wood Capital, LLC
As of its Form ADV filed July 8, 2026, Bruce Wood Capital, LLC, a state-registered independent wealth management RIA in Mequon, Wisconsin, reported $14.7 million in regulatory assets under management across 21 accounts, ranking #208 among independent RIAs in Wisconsin by assets.
Registration
- Registration
- State-registered, Approved
- CRD number
- 331360
- SEC file number
- None (state-registered)
- Registered since
- February 13, 2025
- Latest Form ADV filing
- July 8, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $14.7 million
- Discretionary
- $14.7 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 21 (21 discretionary)
- Clients
- 21, approximate as reported
- Employees
- 2
- Advisory staff
- 2 performing investment advisory functions
- Average account
- $700,000
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. 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 independent wealth management RIAs.
| Ranking | Nationally | In Wisconsin | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #14,630 | #208 | $14.7 million |
| Independent RIAs with the most clients | #15,784 | #234 | 21 |
| Independent RIAs with the most accounts | #16,217 | #234 | 21 |
| Independent RIAs with the most advisory staff | #6,488 | #113 | 2 |
| Independent RIAs with the most high net worth clients | #9,484 | #157 | 20 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 7, 2026 | $14.7 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 20 clients | $12.0 million | |
| Investment companies 1 client | $2.7 million |
How the firm is paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Advisory services
- Portfolio management for individuals or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses or institutional clients
- Pension consulting
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Commodity pool operator or commodity trading advisor
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Commodity pool operator or commodity trading advisor
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported custody of client cash or securities, $13.0 million in total.
Investment adviser representatives
- IARs registered with the firm
- 2
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 2
2 of the firm's 2 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
Our source has no Form ADV Item 11 detail for this firm. 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 |
|---|---|---|
| Pro Advisors, Ltd. DBA R J Pickle Financial Services | Prescott | $15.7 million |
| D/B/A Financial Awareness Institute | Sharon | $15.0 million |
| Fulton Investment Advisers, Inc. | Wauwatosa | $14.5 million |
| Omelina Group Wealth Management Inc. | Minocqua | $14.2 million |
| RB Investment Management Inc. | Little Suamico | $12.3 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Bruce Wood Capital, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.brucewoodcapital.com
- Independent RIAs in Wisconsin
Firm data as of October 7, 2026, from IA_FIRM_STATE_Feed_10_07_2026.xml.gz. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 7, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.