{"url":"https://nivawealth.com/firms/marquette-asset-management-282482","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/282482","regulatoryAum":1067558917,"crd":"282482","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6508177","suffix":null,"lastName":"ELLING","firstName":"JORDAN","middleName":"MARIE"},{"crd":"5500991","suffix":null,"lastName":"THOMAS RUTH","firstName":"VALERIE","middleName":"ANN"},{"crd":"2617017","suffix":null,"lastName":"VERNIER","firstName":"CHRISTOPHER","middleName":"MARCEL"}],"total":3,"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":"2021-03-23","regulatoryAum":877339000,"clients":180,"employees":8,"offices":1},{"filedOn":"2022-03-29","regulatoryAum":810991000,"clients":203,"employees":8,"offices":1},{"filedOn":"2023-01-31","regulatoryAum":569906023,"clients":221,"employees":8,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":712168148,"clients":237,"employees":8,"offices":1},{"filedOn":"2025-05-06","regulatoryAum":817118955,"clients":244,"employees":7,"offices":1},{"filedOn":"2026-09-28","regulatoryAum":1067558917,"clients":229,"employees":8,"offices":2}],"secFileNumber":"801-107122","legalName":"Marquette Asset Management, LLC","displayName":"Marquette Asset Management","slug":"marquette-asset-management-282482","website":"https://marquettewm.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2005","organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"11100 Wayzata BLVD., Suite 560","city":"Minnetonka","state":"MN","stateName":"Minnesota","country":"United States","postalCode":"55305-9930"},"tradeNames":["Marquette Wealth Management"],"registration":{"secApproved":"28 January 2016","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":4639085.777251185,"staff":{"employees":8,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":1067558917,"discretionary":1067558917,"discretionaryAccounts":642,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":95,"regulatoryAum":48820073},{"label":"High-net-worth individuals","clients":116,"regulatoryAum":930027026},{"label":"Pension and profit-sharing plans","clients":2,"fewerThan5":true,"regulatoryAum":8937284},{"label":"Charitable organizations","clients":7,"regulatoryAum":41762039},{"label":"Corporations and other businesses","clients":2,"fewerThan5":true,"regulatoryAum":27246962},{"label":"Other","clients":7,"regulatoryAum":10765533}],"feePrograms":[{"role":"main","program":"Wealth 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II"},{"role":"other","program":"Self-Directed Accounts","summary":"An annual fee of 0.10% of market value may be charged on self-directed accounts to cover administrative expenses.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059299","versionId":1059299,"submittedOn":"2026-09-28","documentName":"MARQUETTE WEALTH MANAGEMENT FORM ADV PART II"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T05:12:41.832724+00:00","documents":[{"name":"MARQUETTE WEALTH MANAGEMENT FORM ADV PART II","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059299","versionId":1059299,"submittedOn":"2026-09-28"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Franscisco, CA","smaAssets":552685263}],"custodyNote":"Marquette Asset Management has custody of $609M in client assets for 313 clients.","leadership":[{"name":"Christopher Vernier","title":"President","crd":"2617017"},{"name":"Kristy Thom","title":"Chief Compliance Officer","crd":"8351451"},{"name":"Jordan Elling","title":"Wealth Advisor","crd":"6508177"},{"name":"Valerie Thomas Ruth","title":"Managing Director","crd":"5500991"}],"ownership":[{"label":"Marquette Wealth Management, LLC","detail":"100% owner in the 75% or more ownership band and a control person, since December 2017."},{"label":"Christopher Vernier","detail":"Indirect owner: a owner and manager of Marquette Wealth Management, LLC in the 75% or more band and a control person, since August 2017.","parent":"Marquette Wealth Management, LLC"}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Minnesota","offices":1,"addresses":[{"street":"11100 Wayzata BLVD., Suite 560","city":"Minnetonka","headquarters":true}]}],"brochureServices":["education planning","estate planning","philanthropic planning","retirement plan services","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"612-661-3770","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":76},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":14},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":3},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"28 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/282482/PDF/282482.pdf","brochureDate":"28 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059299","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Marquette Asset Management have?","answer":"Marquette Asset Management has 229 clients and manages $1.07 billion for them, as of September 2026. They include 116 high-net-worth individuals, 95 individual clients and 7 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Marquette Asset Management offer?","answer":"Marquette Asset Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, education planning, estate planning, philanthropic planning, retirement plan services, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Marquette Asset Management charge?","answer":"Marquette Asset Management charges 0.50%–1.00% a year for its Wealth Management. Each asset band is charged at its own rate. The fee is billed in arrears.","source":"MARQUETTE WEALTH MANAGEMENT FORM ADV PART II, filed 28 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Marquette Asset Management use?","answer":"Marquette Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Franscisco, CA), with $553M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Marquette Asset Management have?","answer":"Marquette Asset Management has 3 investment adviser representatives registered with state securities authorities, out of 8 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Marquette Asset Management invest in?","answer":"At the end of its last fiscal year, Marquette Asset Management’s separately managed accounts held 76% exchange-traded equities, 14% registered funds (mutual funds, ETFs, BDCs), 4% cash and equivalents, 3% pooled vehicles (private funds and similar), 1% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate 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 Marquette Asset Management?","answer":"Marquette Asset Management is owned through a holding company by Christopher Vernier. Its direct owner is Marquette Wealth Management, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 28 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Marquette Asset Management get paid?","answer":"Marquette 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":"Is Marquette Asset Management registered with the SEC?","answer":"Yes, Marquette Asset Management has been registered with the SEC as an investment adviser since 28 January 2016. Its CRD number is 282482 and its SEC file number is 801-107122.","source":"Form ADV Part 1A, Item 1, filed 28 September 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Marquette Asset Management?","answer":"Marquette Asset Management’s main office is at 11100 Wayzata BLVD., Suite 560, Minnetonka, MN 55305-9930. Its phone number is 612-661-3770. Its website is marquettewm.com.","source":"Form ADV Part 1A, Item 1.F, filed 28 September 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."}