{
  "crd_number": 140,
  "slug": "carl-m-hennig-inc-oshkosh-wi-140",
  "primary_business_name": "CARL M. HENNIG, INC.",
  "legal_name": "CARL M. HENNIG, INC.",
  "dbas": [],
  "city": "Oshkosh",
  "state": "WI",
  "country": "United States",
  "cbsa_code": "36780",
  "metro": {
    "cbsa_code": "36780",
    "common_name": "Oshkosh",
    "msa_name": "Oshkosh-Neenah, WI",
    "path": "/advisors/wi/oshkosh"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2013-04-04",
  "years_registered": 13,
  "period": "2026-10-01",
  "filing_date": "2026-04-15",
  "carried_forward": false,
  "raum_total": 27600000.0,
  "raum_discretionary": 0.0,
  "raum_non_discretionary": 27600000.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 27600000.0,
      "count": 30
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "other",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [
    "WI"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/140",
  "disclosure_items": [
    {
      "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": "OSHKOSH",
  "url": "https://advisorcensus.com/firm/carl-m-hennig-inc-oshkosh-wi-140",
  "display_name": "Carl M. Hennig, Inc.",
  "summary": "Carl M. Hennig, Inc. is a state-registered investment advisory firm in Oshkosh, WI, registered since 2013, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated April 15, 2026.",
  "citation": "AdvisorCensus. Carl M. Hennig, Inc. (CRD 140): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Selection of other advisers (including private fund managers)",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Carl M. Hennig, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Carl M. Hennig, 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 Carl M. Hennig, Inc. located?",
      "a": "Carl M. Hennig, Inc.'s principal office is in Oshkosh, WI, according to its Form ADV."
    },
    {
      "q": "Is Carl M. Hennig, Inc. registered with the SEC or a state?",
      "a": "Carl M. Hennig, Inc. is a state-registered investment advisory firm, registered since 2013. Status as filed: APPROVED. CRD 140."
    },
    {
      "q": "How much does Carl M. Hennig, Inc. manage?",
      "a": "Carl M. Hennig, Inc. reports $27,600,000 in regulatory assets under management in its Form ADV filing dated April 15, 2026 (0% discretionary)."
    },
    {
      "q": "What types of clients does Carl M. Hennig, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (30)."
    },
    {
      "q": "Does Carl M. Hennig, Inc. report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/140"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/carl-m-hennig-inc-oshkosh-wi-140.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 30,
      "fewer_than_5": false,
      "raum": 27600000.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item 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/140",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}