John A. Wolfe & Associates, Inc. (Portage)

John A. Wolfe & Associates, Inc. is a large advisory firm based in Portage. It manages $435.76 million of regulatory assets for 1,371 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Arizona, California, Colorado, and 11 other states.

John A. Wolfe & Associates provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

John A. Wolfe & Associates: assets under management

The assets under management (AUM) of John A. Wolfe & Associates, Inc. is $435.76 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 21% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $435.76 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $317.84 thousand each.

John A. Wolfe & Associates has custody of $13.46 million in cash and securities for 46 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 70% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 25% of the firm’s portfolio. Investments in exchange traded securities form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay John A. Wolfe & Associates, Inc. for their services and products based on a percentage of assets under management and fixed fees. 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 John A. Wolfe & Associates serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of John A. Wolfe & Associates is high net worth individuals with 136 clients and $277.14 million of assets under management. Among the 12 most similar advisory firms, John A. Wolfe & Associates has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $435.76 million for 592 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

John A. Wolfe & Associates doesn't advise any private funds.

Careers at John A. Wolfe & Associates, Inc.

The company employs 4 people that are either part- or full-time employees. 25 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone 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
John Anthony Wolfe	President & chief portfolio manager	1 Jan 1993	50% - 75%	1218558
Janice Black Campbell	Chief compliance officer	1 Jan 2007	Other	2365784
John Anthony Wolfe	President & chief compliance officer	1 Feb 2007	75% - 100%	1218558

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
John Anthony Wolfe	Trustee	1 Apr 1992	50% - 75%	xxx-xx-xxxx

Based in Portage

The principal office where John A. Wolfe & Associates, Inc. performs its advisory services is located at 440 West Centre Avenue, Portage, MI 49024 5357, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 269-324-1988 or by fax 269-324-1970. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday.