Kellogg Asset Management provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and portfolio management for institutions.
Kellogg Asset Management reports 1 client. They include 1 pooled investment vehicle. Of its assets, 99.7% ($2.85B across 103 accounts) are managed with discretion; $7.97M across 1 account is not.
| Client type | Clients | Assets |
|---|---|---|
| Banking or thrift institutions | Fewer than 5 | 52% |
| Pooled investment vehicles | 100% | 39% |
| State or municipal government entities | Fewer than 5 | <1% |
| Other investment advisers | Fewer than 5 | 9% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Banking or thrift institutions | Fewer than 5 | $1.48B | 51.7% | — |
| Pooled investment vehicles | 1 | $1.12B | 39.1% | $1.12B |
| State or municipal government entities | Fewer than 5 | $7.97M | 0.3% | — |
| Other investment advisers | Fewer than 5 | $254M | 8.9% | — |
| Total | 1 | $2.86B | 100% | — |
- Clients
- Fewer than 5
- Regulatory AUM
- $1.48B
- AUM share
- 51.7%
- Avg. per client
- —
- Clients
- 1
- Regulatory AUM
- $1.12B
- AUM share
- 39.1%
- Avg. per client
- $1.12B
- Clients
- Fewer than 5
- Regulatory AUM
- $7.97M
- AUM share
- 0.3%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $254M
- AUM share
- 8.9%
- Avg. per client
- —
Total
- Clients
- 1
- Regulatory AUM
- $2.86B
- 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
Kellogg Asset Management is paid through a percentage of assets under management; its fees and minimums are set out in its brochures on the SEC website.
Associated Trust Company owns 75% or more of Kellogg Asset Management. The leadership team of Kellogg Asset Management includes Chief Compliance Officer Anthony Philip Pecora. It has 9 employees.
Staff
- 9 employees
- 9 in advisory functions
- 9 state-registered reps
- 1 broker-dealer rep
- Owns 75% or more of Kellogg Asset Management, LLC
Associated Trust Company
Control person · since May 2016
- Owns 75% or more of Kellogg Asset Management, LLC
Associated Bank, N.A.
Control person · since May 2016
- Owns 75% or more of Associated Bank, N.A.
Associated Banc-Corp
Control person · since January 1995
Kellogg Asset Management’s regulatory assets grew from $2.32B (July 2021) to $2.86B (March 2026); clients were 1 in both filings and employees fell from 11 to 9.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $2.86B | 1 | 9 | 5 |
| Mar 2025March 2025 | $2.65B | 1 | 10 | 5 |
| Apr 2024April 2024 | $2.51B | 1 | 11 | 4 |
| Mar 2023March 2023 | $2.17B | 1 | 11 | 4 |
| Mar 2022March 2022 | $2.53B | 1 | 11 | 4 |
| Jul 2021July 2021 | $2.32B | 1 | 11 | 4 |
Besides its headquarters, Kellogg Asset Management has 4 offices, with 5 listed addresses across 2 states.
Wisconsin · 4 listed addresses
- 200 North Adams Street, Green BayHQ
- 8040 Excelsior DR, Madison
- 100 W Wisconsin Ave, Neenah
- 1121 Franklin St, Manitowoc
Minnesota · 1 listed address
- 5353 Wayzata BLVD, St. Louis Park
Contact and registration details
- Legal name
- Kellogg Asset Management, LLC
- Headquarters
- 200 North Adams Street, Green Bay, WI 54301
- Website
- Not reported
- Phone
- 800-236-5215
- SEC file
- 801-70113
- Structure
- Wisconsin LLC
- Fiscal year end
- December
Kellogg Asset Management’s named custodians for separately managed accounts are Associated Trust Company, N.A. ($1.11B, 68%), Bell Bank ($273M, 17%) and Fidelity ($254M, 15%). Kellogg Asset Management has custody of $2.23B for 4 clients.
- Associated Trust Company, N.A.Associated Trust Company, N.A. · Green Bay, WI · $1.11B68%
- FidelityNational Financial Services LLC · Boston, MA · $254M15%
- Bell BankBell Bank · Fargo, ND · $273M17%
At year end, Kellogg Asset Management’s separately managed accounts were largely in bonds (35%) and funds (33%).
What the accounts hold
- Stocks32%
- Funds33%
- Bonds35%
- Investment grade corporate bonds17%
- U.S. government and agency bonds14%
- State and local bonds4%
How many clients does Kellogg Asset Management have?
Kellogg Asset Management has 1 client and manages $2.86 billion for them, as of March 2026. They include 1 pooled investment vehicle.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026
What services does Kellogg Asset Management offer?
Kellogg Asset Management provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Kellogg Asset Management use?
Kellogg Asset Management’s separately managed account assets are held at Associated Trust Company, N.A. (Green Bay, WI), with $1.11B, Bell Bank (Fargo, ND), with $273M and National Financial Services LLC (Boston, MA), with $254M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 March 2026
How many financial advisors does Kellogg Asset Management have?
Kellogg Asset Management has 9 investment adviser representatives registered with state securities authorities, out of 9 employees, and 9 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 0 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 Kellogg Asset Management invest in?
At the end of its last fiscal year, Kellogg Asset Management’s separately managed accounts held 33% registered funds (mutual funds, ETFs, BDCs), 32% exchange-traded equities, 17% investment grade corporate bonds, 14% U.S. government and agency bonds and 4% state and local bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Kellogg Asset Management?
Kellogg Asset Management is owned through a holding company by Associated Banc-Corp. Its direct owners are Associated Trust Company (75% or more) and Associated Bank, N.A. (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 26 March 2026
How does Kellogg Asset Management get paid?
Kellogg Asset Management is paid through a percentage of assets under management. 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 Kellogg Asset Management?
Kellogg Asset Management’s main office is at 200 North Adams Street, Green Bay, WI 54301. Its phone number is 800-236-5215.