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 that has been SEC-registered since 2004. The firm serves both individual/family and institutional clients and positions itself as a capital allocator that combines discretionary portfolio management with financial planning and advisory services. Its fee arrangements include percentage-of-AUM billing alongside hourly and fixed-fee engagements, and the firm also conducts pension consulting, selects outside managers, publishes client communications, and runs educational seminars. Annex operates additional business lines that include insurance brokerage and accounting-related services, and it is registered to offer other financial products. The firm is not identified as an active ESG investor. Annex received recognition in trade press, 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

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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

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Contacts

3 of 91

MARK PENT
Branch DirectorCRD 4604363
ANDREW REHORST
Associate Wealth ManagerCRD 6393369
Steven Dryer
Managing Director, OperationsCRD 2003001

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ETF holdings

1 of 165

Active vs passive

$3.2B in ETFs

Passive

44%

$1.4B

Active

53%

$1.8B

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	$385M	17,683,091	12.04%