# Carl M. Hennig, Inc.

> 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.

- CRD: 140
- Filed as: CARL M. HENNIG, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Oshkosh, WI
- Filing period: October 2026
- Form ADV filing dated: April 15, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/140
- AdvisorCensus page: https://advisorcensus.com/firm/carl-m-hennig-inc-oshkosh-wi-140

## Quick answers

**How is Carl M. Hennig, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Carl M. Hennig, Inc. reports these compensation arrangements: a percentage of assets under its management.

**Where is Carl M. Hennig, Inc. located?**
Carl M. Hennig, Inc.'s principal office is in Oshkosh, WI, according to its Form ADV.

**Is Carl M. Hennig, Inc. registered with the SEC or a state?**
Carl M. Hennig, Inc. is a state-registered investment advisory firm, registered since 2013. Status as filed: APPROVED. CRD 140.

**How much does Carl M. Hennig, Inc. manage?**
Carl M. Hennig, Inc. reports $27,600,000 in regulatory assets under management in its Form ADV filing dated April 15, 2026 (0% discretionary).

**What types of clients does Carl M. Hennig, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (30).

**Does Carl M. Hennig, Inc. report any disciplinary disclosures?**
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

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $27,600,000
- Discretionary: $0
- Non-discretionary: $27,600,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 30 | $27,600,000 |

### Advisory services (Item 5.G)
- Selection of other advisers (including private fund managers)
- Other

### Firm details
- Registered since: 2013 (13 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: WI
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/140

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Carl M. Hennig, Inc. (CRD 140): Form ADV filing data as of October 2026.