# Tower View Wealth Management LLC

> Tower View Wealth Management LLC is an SEC-registered investment advisory firm in Oshkosh, WI, registered since 2017, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 108739
- Filed as: TOWER VIEW WEALTH MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Oshkosh, WI
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/108739
- AdvisorCensus page: https://advisorcensus.com/firm/tower-view-wealth-management-llc-oshkosh-wi-108739

## Quick answers

**How is Tower View Wealth Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Tower View Wealth Management LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does Tower View Wealth Management LLC charge?**
Its Form ADV Part 2A brochure dated March 30, 2026 states: Hourly rate: $1,000 an hour (Financial planning or consulting services); Flat fee: up to $50,000 (Project-based or flat fees). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Tower View Wealth Management LLC located?**
Tower View Wealth Management LLC's principal office is in Oshkosh, WI, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Tower View Wealth Management LLC registered with the SEC or a state?**
Tower View Wealth Management LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 108739.

**How much does Tower View Wealth Management LLC manage?**
Tower View Wealth Management LLC reports $317,944,313 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Tower View Wealth Management LLC's assets and staff changed since 2021?**
In the Form ADV data for Tower View Wealth Management LLC: Regulatory assets under management: $215,048,000 in the October 2021 data and $317,944,313 in the October 2026 data, up 48%. Total employees: 4 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Tower View Wealth Management LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (136); high net worth individuals (70); pension and profit sharing plans (but not the plan participants or government pension plans) (2).

**Which custodians does Tower View Wealth Management LLC use?**
Tower View Wealth Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Tower View Wealth Management LLC report any disciplinary disclosures?**
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/108739

**What changed in Tower View Wealth Management LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 2 to 4. Regulatory assets under management went from $281,916,345 to $317,944,313 (+13%). Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Hourly rate: $1,000 an hour (Financial planning or consulting services)

> Tower View’s maximum hourly rate is $1,000 per hour.

- Flat fee: up to $50,000 (Project-based or flat fees)

> Project-based or flat fees typically do not exceed $50,000; however, actual fees may vary based on the nature and complexity of the engagement.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $317,944,313
- Discretionary: $317,944,313
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 136 | $39,009,267 |
| High net worth individuals | 70 | $262,747,782 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2 | $11,731,027 |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 1 | $4,456,237 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2017 (9 years)
- Employees: 6 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, IL, MN, NH, TX, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Oshkosh, WI

### Websites listed on Form ADV (Item 1.I)
- tower-view.com
- LinkedIn @tower-view-investment-management-research-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $215,048,000 | 4 | May 18, 2021 |
| October 2022 | $265,322,132 | 4 | March 24, 2022 |
| October 2023 | $215,814,000 | 4 | June 15, 2023 |
| October 2024 | $244,073,541 | 5 | July 17, 2024 |
| October 2025 | $281,916,345 | 6 | March 27, 2025 |
| October 2026 | $317,944,313 | 6 | March 30, 2026 |

Regulatory assets under management: $215,048,000 in the October 2021 data and $317,944,313 in the October 2026 data, up 48%.
Total employees: 4 in October 2021 and 6 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 2 to 4.
- Regulatory assets under management went from $281,916,345 to $317,944,313 (+13%).
- Updated its list of owners and control persons (Schedule A).

### January 2026
- No longer registered or notice-filed in LA.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Tower View Wealth Management LLC (CRD 108739): Form ADV filing data as of October 2026.