{"url":"https://nivawealth.com/firms/t-anton-investment-house-174970","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/174970","regulatoryAum":366642843,"crd":"174970","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2457436","suffix":null,"lastName":"ANTON","firstName":"TRACEY","middleName":"CAROL"},{"crd":"5501442","suffix":null,"lastName":"SIMS","firstName":"BRENDA","middleName":"JOYCE"},{"crd":"6022378","suffix":null,"lastName":"SMITH","firstName":"MICHAEL","middleName":"RAY"}],"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":"2021-07-02","regulatoryAum":216690729,"clients":506,"employees":5,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":277009514,"clients":487,"employees":5,"offices":1},{"filedOn":"2023-03-02","regulatoryAum":235079119,"clients":450,"employees":5,"offices":1},{"filedOn":"2024-02-09","regulatoryAum":274916777,"clients":329,"employees":3,"offices":1},{"filedOn":"2025-03-12","regulatoryAum":331877251,"clients":335,"employees":4,"offices":1},{"filedOn":"2026-03-26","regulatoryAum":366642843,"clients":328,"employees":6,"offices":1}],"secFileNumber":"801-108785","legalName":"T. Anton Investment House, Inc.","displayName":"T. Anton Investment House","slug":"t-anton-investment-house-174970","website":"https://tantoninvestmenthouse.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/174970/c2a660fc3d5efb52-r1.webp","tone":"light","width":222,"height":200,"sourceUrl":"https://www.tantoninvestmenthouse.com/","sourceLabel":"T. Anton Investment House, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2015","organization":"Wisconsin corporation","fiscalYearEnd":"December","headquarters":{"street":"708 Heartland Trail, Suite #3000","city":"Madison","state":"WI","stateName":"Wisconsin","country":"United States","postalCode":"53717-2174"},"tradeNames":[],"registration":{"secApproved":"3 January 2017","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1117813.5457317072,"staff":{"employees":6,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":366642843,"discretionary":366642843,"discretionaryAccounts":891,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":203,"regulatoryAum":99296119},{"label":"High-net-worth individuals","clients":125,"regulatoryAum":267346724}],"feePrograms":[{"role":"main","program":"Investment Advisory and Management Services","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":2000000,"pct":0.8,"from":1000000},{"to":null,"pct":0.6,"from":2000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027788","versionId":1027788,"ratePeriod":"not_stated","fee_billing":"arrears","submittedOn":"2026-03-26","documentName":"FORM ADV PART 2AB FOR T. ANTON INVESTMENT HOUSE, INC.","fee_rate_low":0.6,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T10:03:51.688832+00:00","documents":[{"name":"FORM ADV PART 2AB FOR T. ANTON INVESTMENT HOUSE, INC.","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027788","versionId":1027788,"submittedOn":"2026-03-26"}]},"custodians":[],"custodyNote":"T. Anton Investment House does not have custody of client assets.","leadership":[{"name":"Tracey Anton","title":"President and Chief Compliance Officer 11.30.2016","crd":"2457436"}],"ownership":[{"label":"Tracey Anton","detail":"President and chief compliance officer 11.30.2016 in the 75% or more ownership band and a control person, since January 2015."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Wisconsin","offices":1,"addresses":[{"street":"708 Heartland Trail, Suite #3000","city":"Madison","headquarters":true}]}],"brochureServices":["estate planning","insurance","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"608-501-1549","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":92},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/174970/PDF/174970.pdf","brochureDate":"26 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027788","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 T. Anton Investment House have?","answer":"T. Anton Investment House has 328 clients and manages $367 million for them, as of March 2026. They include 203 individual clients and 125 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does T. Anton Investment House offer?","answer":"T. Anton Investment House provides financial planning, portfolio management for individuals and small businesses, estate planning, insurance, 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 T. Anton Investment House charge?","answer":"T. Anton Investment House charges 0.60%–1.00% for its Investment Advisory and Management Services. The brochure does not state whether the rate is annual. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"FORM ADV PART 2AB FOR T. ANTON INVESTMENT HOUSE, INC., filed 26 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does T. Anton Investment House have?","answer":"T. Anton Investment House has 3 investment adviser representatives registered with state securities authorities, out of 6 employees, and 3 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 T. Anton Investment House invest in?","answer":"At the end of its last fiscal year, T. Anton Investment House’s separately managed accounts held 92% registered funds (mutual funds, ETFs, BDCs), 6% exchange-traded equities and 2% cash and equivalents.","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 T. Anton Investment House?","answer":"T. Anton Investment House’s direct owner is Tracey Anton (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does T. Anton Investment House get paid?","answer":"T. Anton Investment House 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 T. Anton Investment House registered with the SEC?","answer":"Yes, T. Anton Investment House has been registered with the SEC as an investment adviser since 3 January 2017. Its CRD number is 174970 and its SEC file number is 801-108785.","source":"Form ADV Part 1A, Item 1, filed 26 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact T. Anton Investment House?","answer":"T. Anton Investment House’s main office is at 708 Heartland Trail, Suite #3000, Madison, WI 53717-2174. Its phone number is 608-501-1549. Its website is tantoninvestmenthouse.com.","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."}