Annex Wealth Management, LLC

RIASEC RegisteredEst. 2004

Total AUM

$8.1B

Discretionary

$7.8B

97% of AUM

Avg account

$366K

Accounts

22,003

Employees

151

Advisory reps

Firm details

Headquarters: Brookfield, Wisconsin
CRD number: 127987
Registered since: September 24, 2004
Website: annexwealth.com
Custodians: CHARLES SCHWAB & CO., INC., NATIONAL FINANCIAL SERVICES LLC
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: HNWI65.22%
Individuals27.91%
Pension & Profit Sharing Plans6.71%
Charitable Organizations0.14%
Corporations / Businesses0.03%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Annex Wealth Management, LLC is an independent registered investment adviser organized as an LLC and operating since 2004. The firm serves both individuals/families and institutional clients and describes itself as a capital allocator that combines financial planning and portfolio management with ancillary services such as insurance brokerage and accounting. Its advisory menu includes retirement and pension consulting, selection of outside managers, investment publications and educational workshops. Annex charges clients via a mix of percentage-of-AUM fees as well as hourly and fixed-fee arrangements. The firm reports it does not pursue ESG investing as an active strategy. Annex has also received industry recognition, appearing on FA Magazine’s Top RIA Firms list in 2020 and on Forbes’ America’s Top RIA Firms list in 2023.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Public Funds/Mutual Funds53%
Exchange Traded Equities36%
Cash & Cash Equivalents5%
US Government Bonds2%
State & Local Bonds2%

Owners & executives

3 of 6

Naomi Ackley
Chief Compliance OfficerCRD 6289332
Brian Jacobsen
Chief EconomistCRD 2904344
David Spano
President, CEOCRD 1811176

Unlock 3 more executives →

Contacts

3 of 93

Mark Pent
Branch DirectorCRD 4604363
Andrew Rehorst
Associate Wealth ManagerCRD 6393369
Steven Dryer
Managing Director, OperationsCRD 2003001

Unlock 90 more contacts →

ETF holdings

1 of 168

Active vs passive

$3.8B in ETFs

Passive

48%

$1.8B

Active

51%

$2B

ETF	Provider	Style	Category	Value	Shares	% of portfolio
VICTORYSHARES CORE PLUS BOND ETF FORMERLY VICTORYSHARES CORE PLUS INTERMEDIATE BOND ETF FORMERLY VICTORYSHARES ESG CORE PLUS BOND ETF (UBND)	VictoryShares	Active	Intermediate Core Plus Bond	$411M	18,906,834	10.93%