Kellogg Asset Management, LLC (Green Bay)

Kellogg Asset Management, LLC is a large advisory firm based in Green Bay. It manages $1.9 billion of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of Illinois, Minnesota, and Wisconsin.

Kellogg Asset Management provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of third-party mutual funds to build diviersified model portfolios.. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Kellogg Asset Management: assets under management

The assets under management (AUM) of Kellogg Asset Management, LLC is $1.9 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 36% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.9 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $271.79 million each.

Kellogg Asset Management has custody of $1.53 billion in cash and securities for 7 clients in total and its related person acts as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 32% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 22% of the firm’s portfolio. Investments in government bonds form 21% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Kellogg Asset Management, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Kellogg Asset Management serves?

The only and largest group of clients of Kellogg Asset Management is pooled investment vehicles with 1 clients and $955.75 million of assets under management. Among the 9 most similar advisory firms, Kellogg Asset Management has the 3rd lowest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $955.75 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Kellogg Asset Management doesn't advise any private funds.

Careers at Kellogg Asset Management, LLC

The company employs 14 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 14 employees are registered as investment adviser representatives with the state securities authorities.

There are 3 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Mark Paul Hilgendorf	Manager	1 Jan 2009	Other	1997582
Sara Jane Walker	Manager	1 Jan 2009	Other	4260355
John Parker Thayer	Managing agent	1 Jan 2009	Other	1603202
Michael Eric Silver	Manager	1 Jan 2009	Other	2639237
Associated Banc Corp	Sole member	1 Jan 2009	75% - 100%	39-1098068
Curzon Mark Heaselden	Chief compliance officer	1 Jan 2009	Other	4918193
Patrick Andrew Fry	Manager	1 Jan 2009	Other	1884853
Mark James Mcmullen	Manager	1 Jan 2009	Other	1480829
Michael Robert Hochholzer	Manager	1 Jan 2009	Other	2878493
Chan C.M. Barden	Manager	1 Aug 2013	Other	4119252
Associated Trust Company	Sole member	1 May 2016	75% - 100%	39-1564826
Anthony Philip Pecora	Chief compliance officer	1 Aug 2017	Other	2975013
Michael Robert Hochholzer	Manager	1 Sep 2017	Other	2878493

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Associated Banc Corp	Sole shareholder	1 Jan 1995	75% - 100%	39-1098068
N.A. Associated Bank	Sole shareholder	1 May 2016	75% - 100%	39-1941673

Based in Green Bay

The principal office where Kellogg Asset Management, LLC performs its advisory services is located at 200 North Adams Street, Green Bay, WI 54301, which is also the mailing address of the firm. An additional office of the firm is in Madison, WI. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-236-0082 or by fax 920-433-3140. The normal business hours are 8 a.m. - 5 p.m. cst on Monday - Friday.