{
  "crd_number": 1464,
  "slug": "associated-investment-services-inc-green-bay-wi-1464",
  "primary_business_name": "ASSOCIATED INVESTMENT SERVICES, INC.",
  "legal_name": "ASSOCIATED INVESTMENT SERVICES, INC.",
  "dbas": [],
  "city": "Green Bay",
  "state": "WI",
  "country": "United States",
  "cbsa_code": "24580",
  "metro": {
    "cbsa_code": "24580",
    "common_name": "Green Bay",
    "msa_name": "Green Bay, WI",
    "path": "/advisors/wi/green-bay"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2010-07-01",
  "years_registered": 16,
  "period": "2026-10-01",
  "filing_date": "2026-10-01",
  "carried_forward": false,
  "raum_total": 1169239099.0,
  "raum_discretionary": 0.0,
  "raum_non_discretionary": 1169239099.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 60,
  "advisory_employees": 27,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 1740600.0,
      "count": 5
    },
    "individuals": {
      "raum": 711579513.0,
      "count": 3264
    },
    "state_municipal": {
      "raum": 1768319.0,
      "count": null,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 452613301.0,
      "count": 577
    },
    "corporations_other_businesses": {
      "raum": 1537366.0,
      "count": 6
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "FL",
    "GA",
    "IA",
    "IL",
    "IN",
    "LA",
    "MI",
    "MN",
    "MO",
    "NC",
    "NE",
    "NH",
    "NV",
    "OH",
    "SC",
    "TN",
    "TX",
    "WI"
  ],
  "websites": [
    "https://associatedbank.com",
    "https://associatedbank.com/wealth/personal-wealth/associated-investment-services"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/1464",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "GREEN BAY",
  "url": "https://advisorcensus.com/firm/associated-investment-services-inc-green-bay-wi-1464",
  "display_name": "Associated Investment Services, Inc.",
  "summary": "Associated Investment Services, Inc. is an SEC-registered investment advisory firm in Green Bay, WI, registered since 2010, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated October 1, 2026.",
  "citation": "AdvisorCensus. Associated Investment Services, Inc. (CRD 1464): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Associated Investment Services, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Associated Investment Services, Inc. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Associated Investment Services, Inc. located?",
      "a": "Associated Investment Services, Inc.'s principal office is in Green Bay, WI, according to its Form ADV; the May 2026 filing also lists 26 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Associated Investment Services, Inc. registered with the SEC or a state?",
      "a": "Associated Investment Services, Inc. is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 1464."
    },
    {
      "q": "How much does Associated Investment Services, Inc. manage?",
      "a": "Associated Investment Services, Inc. reports $1,169,239,099 in regulatory assets under management in its Form ADV filing dated October 1, 2026 (0% discretionary)."
    },
    {
      "q": "How have Associated Investment Services, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Associated Investment Services, Inc.: Regulatory assets under management: $973,097,889 in the October 2021 data and $1,169,239,099 in the October 2026 data, up 20%. Total employees: 63 in October 2021 and 60 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Associated Investment Services, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (3,264); high net worth individuals (577); corporations or other businesses not listed above (6)."
    },
    {
      "q": "Which custodians does Associated Investment Services, Inc. use?",
      "a": "Associated Investment Services, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Associated Investment Services, Inc. report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/1464"
    },
    {
      "q": "What changed in Associated Investment Services, Inc.'s recent Form ADV filings?",
      "a": "In the May 2026 filing data: Registered or notice-filed in NH."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 973097889.0,
      "total_employees": 63,
      "filing_date": "2021-08-05"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1006715073.0,
      "total_employees": 61,
      "filing_date": "2022-09-19"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 827255621.0,
      "total_employees": 59,
      "filing_date": "2023-05-16"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 862552767.0,
      "total_employees": 62,
      "filing_date": "2024-08-27"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1000633569.0,
      "total_employees": 62,
      "filing_date": "2025-06-13"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 1169239099.0,
      "total_employees": 60,
      "filing_date": "2026-10-01"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Registered or notice-filed in NH."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 26 to 27.",
        "Regulatory assets under management went from $1,000,633,569 to $1,169,239,099 (+17%).",
        "Changed its office addresses in Fairview Heights, IL.",
        "Changed its office addresses in Mukwonago, WI.",
        "Changed its office addresses in Sun Prairie, WI.",
        "Registered or notice-filed in NC."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/associated-investment-services-inc-green-bay-wi-1464.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 3264,
      "fewer_than_5": false,
      "raum": 711579513.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 577,
      "fewer_than_5": false,
      "raum": 452613301.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 5,
      "fewer_than_5": false,
      "raum": 1740600.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 1768319.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 6,
      "fewer_than_5": false,
      "raum": 1537366.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/1464",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}