{ "crd_number": 150031, "slug": "kellogg-asset-management-llc-green-bay-wi-150031", "primary_business_name": "KELLOGG ASSET MANAGEMENT, LLC", "legal_name": "KELLOGG ASSET MANAGEMENT, LLC", "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": "2009-05-11", "years_registered": 17, "period": "2026-10-01", "filing_date": "2026-03-26", "carried_forward": false, "raum_total": 2858584767.0, "raum_discretionary": 2850611486.0, "raum_non_discretionary": 7973281.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 9, "advisory_employees": 9, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "banking_thrift": { "raum": 1477596521.0, "count": null, "fewer_than_5": true }, "state_municipal": { "raum": 7973281.0, "count": null, "fewer_than_5": true }, "other_investment_advisers": { "raum": 253951990.0, "count": null, "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 1119062975.0, "count": 1 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "other", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "IL", "MN", "WI" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/150031", "city_as_filed": "GREEN BAY", "url": "https://advisorcensus.com/firm/kellogg-asset-management-llc-green-bay-wi-150031", "display_name": "Kellogg Asset Management, LLC", "summary": "Kellogg Asset Management, LLC is an SEC-registered investment advisory firm in Green Bay, WI, registered since 2009, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 26, 2026.", "citation": "AdvisorCensus. Kellogg Asset Management, LLC (CRD 150031): 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": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients", "Other" ], "quick_answers": [ { "q": "How is Kellogg Asset Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Kellogg Asset Management, LLC 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 Kellogg Asset Management, LLC located?", "a": "Kellogg Asset Management, LLC's principal office is in Green Bay, WI, according to its Form ADV; the April 2026 filing also lists 4 other offices (Schedule D, Section 1.F)." }, { "q": "Is Kellogg Asset Management, LLC registered with the SEC or a state?", "a": "Kellogg Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 150031." }, { "q": "How much does Kellogg Asset Management, LLC manage?", "a": "Kellogg Asset Management, LLC reports $2,858,584,767 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (100% discretionary)." }, { "q": "How have Kellogg Asset Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Kellogg Asset Management, LLC: Regulatory assets under management: $2,321,956,218 in the October 2021 data and $2,858,584,767 in the October 2026 data, up 23%. Total employees: 11 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Kellogg Asset Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (1)." }, { "q": "Which custodians does Kellogg Asset Management, LLC use?", "a": "Kellogg Asset Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Associated Trust Company, N.A. (affiliated with the firm), Healthcarebank and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Kellogg Asset Management, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/150031" }, { "q": "What changed in Kellogg Asset Management, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 10 to 9. Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 2321956218.0, "total_employees": 11, "filing_date": "2021-07-12" }, { "period": "2022-10-01", "regulatory_assets_under_management": 2531040474.0, "total_employees": 11, "filing_date": "2022-03-28" }, { "period": "2023-10-01", "regulatory_assets_under_management": 2172239299.0, "total_employees": 11, "filing_date": "2023-03-17" }, { "period": "2024-10-01", "regulatory_assets_under_management": 2508796355.0, "total_employees": 11, "filing_date": "2024-09-09" }, { "period": "2025-10-01", "regulatory_assets_under_management": 2651598328.0, "total_employees": 10, "filing_date": "2025-03-19" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2858584767.0, "total_employees": 9, "filing_date": "2026-03-26" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 10 to 9.", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Associated Trust Company, N.A.", "name_as_filed": "ASSOCIATED TRUST COMPANY, N.A.", "affiliated": true }, { "name": "Healthcarebank", "name_as_filed": "HEALTHCAREBANK", "affiliated": false }, { "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/kellogg-asset-management-llc-green-bay-wi-150031.md", "clients": [ { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": null, "fewer_than_5": true, "raum": 1477596521.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 1, "fewer_than_5": false, "raum": 1119062975.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": null, "fewer_than_5": true, "raum": 7973281.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": null, "fewer_than_5": true, "raum": 253951990.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "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/150031", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }