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WARNKE/NICHOLS LTD.

dba WARNKE/NICHOLS LTD. · CRD 112181 · Registered Investment Adviser

WARNKE/NICHOLS LTD. is a Registered Investment Adviser headquartered in DELAFIELD, WI. The firm reports $159,976,325 in regulatory assets under management across 241 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$152,332,667
Non-discretionary$7,643,658
Total RAUM$159,976,325
Accounts241

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 112181. adviserinfo.sec.gov/firm/summary/112181.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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