{"url":"https://nivawealth.com/firms/wacker-and-associates-159879","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/159879","regulatoryAum":180181134,"crd":"159879","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2688497","suffix":null,"lastName":"PURDY","firstName":"MICHAEL","middleName":"LEALON"},{"crd":"7190318","suffix":null,"lastName":"WACKER","firstName":"SHADRACH","middleName":"LEE"},{"crd":"2145660","suffix":null,"lastName":"WACKER","firstName":"WADE","middleName":"MITCHELL"}],"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":"2025-02-05","regulatoryAum":141707357,"clients":141,"employees":3,"offices":1},{"filedOn":"2026-04-13","regulatoryAum":180181134,"clients":183,"employees":4,"offices":2}],"secFileNumber":"801-132015","legalName":"Wacker & Associates, Inc.","displayName":"Wacker & Associates","slug":"wacker-and-associates-159879","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Minnesota corporation","fiscalYearEnd":"December","headquarters":{"street":"208 Sherman Street","city":"Jackson","state":"MN","stateName":"Minnesota","country":"United States","postalCode":"56143"},"tradeNames":[],"registration":{"secApproved":"21 February 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":556959.773255814,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":180181134,"discretionary":80633104,"discretionaryAccounts":322,"nonDiscretionary":99548030,"nonDiscretionaryAccounts":99,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":133,"regulatoryAum":42913169},{"label":"High-net-worth individuals","clients":39,"regulatoryAum":52883912},{"label":"Pension and profit-sharing plans","clients":4,"regulatoryAum":72386471},{"label":"Charitable organizations","clients":3,"regulatoryAum":7422382},{"label":"Corporations and other businesses","clients":4,"regulatoryAum":4575200}],"feePrograms":[{"role":"other","program":"Hourly Financial Planning","summary":"Hourly financial planning is $25 to $200 an hour depending on complexity; fees are negotiable and paid in arrears on completion.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013970","versionId":1013970,"submittedOn":"2026-03-03","documentName":"WACKER & ASSOCIATES, INC. ADV PART 2A FIRM BROCHURE"},{"role":"other","program":"Retirement Plan Services","summary":"Retirement plan sponsor clients pay a negotiable fixed annual fee, typically 0.20% to 0.75%; individual participants pay no fee.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013970","versionId":1013970,"submittedOn":"2026-03-03","documentName":"WACKER & ASSOCIATES, INC. ADV PART 2A FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:26:27.322383+00:00","documents":[{"name":"WACKER & ASSOCIATES, INC. ADV PART 2A FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013970","versionId":1013970,"submittedOn":"2026-03-03"}]},"custodians":[{"name":"Charles Schwab Trust Bank","shortName":"Charles Schwab","location":"Henderson, NV","smaAssets":50501597},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":107794663},{"name":"T. Rowe Price","shortName":"T. Rowe Price","location":"Owing Mills, MD","smaAssets":21884874}],"custodyNote":"Wacker & Associates does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Wade Wacker","title":"President & Chief Compliance Officer","crd":"2145660"}],"ownership":[{"label":"Wade Wacker","detail":"President & chief compliance officer in the 75% or more ownership band and a control person, since December 2011."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Minnesota","offices":2,"addresses":[{"street":"208 Sherman Street","city":"Jackson","headquarters":true},{"street":"504 1st Ave. S","city":"St. James"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"507-847-3886","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Performance-based fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":40},{"label":"Investment grade corporate bonds","percent":9},{"label":"Securities issued by registered investment companies or business development companies","percent":50},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"13 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/159879/PDF/159879.pdf","brochureDate":"3 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013970","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 Wacker & Associates have?","answer":"Wacker & Associates has 183 clients and manages $180 million for them, as of April 2026. They include 133 individual clients, 39 high-net-worth individuals, and 4 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 13 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wacker & Associates offer?","answer":"Wacker & Associates provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","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 Wacker & Associates use?","answer":"Wacker & Associates’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $108M, Charles Schwab Trust Bank (Henderson, NV), with $50.5M and T. Rowe Price (Owing Mills, MD), with $21.9M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wacker & Associates have?","answer":"Wacker & Associates has 3 investment adviser representatives registered with state securities authorities, out of 4 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 Wacker & Associates invest in?","answer":"At the end of its last fiscal year, Wacker & Associates’ separately managed accounts held 50% registered funds (mutual funds, ETFs, BDCs), 40% exchange-traded equities, 9% investment grade corporate bonds and 1% 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 Wacker & Associates?","answer":"Wacker & Associates’ direct owner is Wade Wacker (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 13 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wacker & Associates get paid?","answer":"Wacker & Associates is paid through a percentage of assets under management, hourly charges and performance-based fees. Its Form ADV lists no commissions 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 Wacker & Associates?","answer":"Wacker & Associates’ main office is at 208 Sherman Street, Jackson, MN 56143. Its phone number is 507-847-3886.","source":"Form ADV Part 1A, Item 1.F, filed 13 April 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."}