{"url":"https://nivawealth.com/firms/kellogg-asset-management-150031","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/150031","regulatoryAum":2858584767,"crd":"150031","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4119252","suffix":null,"lastName":"BARDEN","firstName":"CHAN","middleName":"C.M."},{"crd":"2940343","suffix":null,"lastName":"DUFFY","firstName":"JOHN","middleName":"BOYDEN"},{"crd":"1884853","suffix":null,"lastName":"FRY","firstName":"PATRICK","middleName":"ANDREW"},{"crd":"2878493","suffix":null,"lastName":"HOCHHOLZER","firstName":"MICHAEL","middleName":"ROBERT"},{"crd":"5781664","suffix":null,"lastName":"JACOBSEN","firstName":"SAMUEL","middleName":"PAUL"},{"crd":"4264410","suffix":null,"lastName":"JOHNSEN","firstName":"ROLF","middleName":"GEORG-SLOAN"},{"crd":"6253990","suffix":null,"lastName":"ROLAIN","firstName":"GARY","middleName":"LEE"},{"crd":"5950456","suffix":null,"lastName":"SATTLER","firstName":"JON","middleName":"LEE"}],"total":8,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-12","regulatoryAum":2321956218,"clients":1,"employees":11,"offices":4},{"filedOn":"2022-03-28","regulatoryAum":2531040474,"clients":1,"employees":11,"offices":4},{"filedOn":"2023-03-17","regulatoryAum":2172239299,"clients":1,"employees":11,"offices":4},{"filedOn":"2024-04-03","regulatoryAum":2508796355,"clients":1,"employees":11,"offices":4},{"filedOn":"2025-03-19","regulatoryAum":2651598328,"clients":1,"employees":10,"offices":5},{"filedOn":"2026-03-26","regulatoryAum":2858584767,"clients":1,"employees":9,"offices":5}],"secFileNumber":"801-70113","legalName":"Kellogg Asset Management, LLC","displayName":"Kellogg Asset Management","slug":"kellogg-asset-management-150031","website":null,"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Wisconsin limited liability company","fiscalYearEnd":"December","headquarters":{"street":"200 North Adams Street","city":"Green Bay","state":"WI","stateName":"Wisconsin","country":"United States","postalCode":"54301"},"tradeNames":[],"registration":{"secApproved":"11 May 2009","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":9,"advisory":9,"brokerDealerReps":1,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":2858584767,"discretionary":2850611486,"discretionaryAccounts":103,"nonDiscretionary":7973281,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Banking or thrift institutions","clients":null,"fewerThan5":true,"regulatoryAum":1477596521},{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":1119062975},{"label":"State or municipal government entities","clients":null,"fewerThan5":true,"regulatoryAum":7973281},{"label":"Other investment advisers","clients":null,"fewerThan5":true,"regulatoryAum":253951990}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Associated Trust Company, N.A.","shortName":"Associated Trust Company, N.A.","location":"Green Bay, WI","smaAssets":1112437973},{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":253951990},{"name":"Bell Bank","shortName":"Bell Bank","location":"Fargo, ND","smaAssets":273088448}],"custodyNote":"Kellogg Asset Management has custody of $2.23B for 4 clients.","otherCustodians":[],"leadership":[{"name":"Anthony Philip Pecora","title":"Chief Compliance Officer & Elected Manager","crd":"2975013"},{"name":"Chan Barden","title":"Elected Manager","crd":"4119252"},{"name":"Beth Ann Cravillion","title":"Elected Manager","crd":"4770231"},{"name":"Patrick Fry","title":"Elected Manager","crd":"1884853"},{"name":"Michael Robert Hochholzer","title":"Managing Agent","crd":"2878493"},{"name":"Samuel Jacobsen","title":"Elected Manager","crd":"5781664"}],"ownership":[{"label":"Associated Trust Company","detail":"Sole member in the 75% or more ownership band and a control person, since May 2016."},{"label":"Associated Bank, N.A.","detail":"Indirect owner: a sole shareholder of Associated Trust Company, N.A. in the 75% or more band and a control person, since May 2016.","parent":"Associated Trust Company, N.A."},{"label":"Associated Banc-Corp","detail":"Indirect owner: a sole shareholder of Associated Bank, N.A. in the 75% or more band and a control person, since January 1995.","parent":"Associated Bank, N.A."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":0},"listedOfficeAddresses":5,"foreignOffices":[],"officesByState":[{"state":"Minnesota","offices":1,"addresses":[{"street":"5353 Wayzata BLVD","city":"St. Louis Park"}]},{"state":"Wisconsin","offices":4,"addresses":[{"street":"200 North Adams Street","city":"Green Bay","headquarters":true},{"street":"8040 Excelsior DR","city":"Madison"},{"street":"100 W Wisconsin Ave","city":"Neenah"},{"street":"1121 Franklin St","city":"Manitowoc"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-236-5215","stateRegisteredReps":9,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":32},{"label":"U.S. government/agency bonds","percent":14},{"label":"U.S. state and local bonds","percent":4},{"label":"Investment grade corporate bonds","percent":17},{"label":"Securities issued by registered investment companies or business development companies","percent":33}],"privateFunds":0},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/150031/PDF/150031.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Kellogg Asset Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Kellogg Asset Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Kellogg Asset Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Kellogg Asset Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Kellogg Asset Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Kellogg Asset Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Kellogg Asset Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Kellogg Asset Management?","answer":"Kellogg Asset Management’s main office is at 200 North Adams Street, Green Bay, WI 54301. Its phone number is 800-236-5215.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}