Investment Professionals provides financial planning and portfolio management for individuals and small businesses. Financial planning was provided to 1,500 clients last fiscal year.
Investment Professionals reports 137 clients. They include 71 pension and profit-sharing plans, 63 individual clients, and 3 high-net-worth individuals. Of its assets, 92.6% ($288M across 136 accounts) are managed with discretion; $23M across 1 account is not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 46% | 6% |
| High-net-worth individuals | 2% | <1% |
| Pension and profit-sharing plans | 52% | 93% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 63 | $20M | 6.4% | $317K |
| High-net-worth individuals | Fewer than 5 | $3M | 1.0% | $1M |
| Pension and profit-sharing plans | 71 | $288M | 92.6% | $4.06M |
| Total | 137 | $311M | 100% | — |
- Clients
- 63
- Regulatory AUM
- $20M
- AUM share
- 6.4%
- Avg. per client
- $317K
- Clients
- Fewer than 5
- Regulatory AUM
- $3M
- AUM share
- 1.0%
- Avg. per client
- $1M
- Clients
- 71
- Regulatory AUM
- $288M
- AUM share
- 92.6%
- Avg. per client
- $4.06M
Total
- Clients
- 137
- Regulatory AUM
- $311M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1500
Investment Professionals is paid through a percentage of assets under management, hourly charges, fixed fees (other than subscription fees) and other compensation; its fees and minimums are set out in its brochures on the SEC website.
Jason Marty owns 75% or more of Investment Professionals. The leadership team of Investment Professionals includes President Jason Marty. It has 4 employees.
Leadership
- Jason MartyPresident/Chief Compliance Officer
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
- Bradford John Jakel
- Larry Robert Jansen
- Jason Donald Marty
- Robert Pierangeli
Staff
- 4 employees
- 4 in advisory functions
- 4 state-registered reps
- 3 insurance agents
- Owns 75% or more of Investment Professionals, LLC
Jason Marty
Control person · since April 2010
Investment Professionals’ regulatory assets grew 1.6× from $201M (March 2021) to $311M (March 2026); clients rose from 68 to 137 and employees were 4 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $311M | 137 | 4 | 2 |
| February 2025 | $311M | 137 | 4 | 2 |
| January 2024 | $215M | 117 | 4 | 2 |
| March 2023 | $193M | 93 | 4 | 2 |
| January 2022 | $227M | 80 | 4 | 2 |
| March 2021 | $201M | 68 | 4 | 2 |
Besides its headquarters, Investment Professionals has 1 office (1 private residence, listed without an address), with 1 listed address in Wisconsin.
Wisconsin · 1 listed address
- 114 E. Main St., Suite 213, WaunakeeHQ
Other business names
Investment Professionals has reported 2 other business names to the SEC.
- 401k Investment Professionals
- Investment Professionals
Contact and registration details
- Legal name
- Investment Professionals, LLC
- Headquarters
- 114 E. Main St., Suite 213, Waunakee, WI 53597
- Website
- Not reported
- Phone
- 608-334-9367
- @25000265
- SEC file
- 801-117105
- Structure
- Wisconsin LLC
- Fiscal year end
- December
Investment Professionals uses Vanguard Group ($164M) as custodian for its separately managed accounts. Investment Professionals does not have custody of client assets.
- Vanguard GroupVanguard Group · Malvern, PA · $164M100%
At year end, Investment Professionals’ separately managed accounts were mostly in funds (95%).
What the accounts hold
- Stocks5%
- Funds95%
How many clients does Investment Professionals have?
Investment Professionals has 137 clients and manages $311 million for them, as of March 2026. They include 71 pension and profit-sharing plans, 63 individual clients, and 3 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 10 March 2026
What services does Investment Professionals offer?
Investment Professionals provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Investment Professionals use?
Investment Professionals’ separately managed account assets are held at Vanguard Group (Malvern, PA), with $164M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 March 2026
How many financial advisors does Investment Professionals have?
Investment Professionals has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Investment Professionals invest in?
At the end of its last fiscal year, Investment Professionals’ separately managed accounts held 95% registered funds (mutual funds, ETFs, BDCs) and 5% exchange-traded equities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Investment Professionals?
Investment Professionals’ direct owner is Jason Marty (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 10 March 2026
How does Investment Professionals get paid?
Investment Professionals is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Investment Professionals?
Investment Professionals’ main office is at 114 E. Main St., Suite 213, Waunakee, WI 53597. Its phone number is 608-334-9367.