Wisconsin Capital Management, Llc
- Regulatory AUM
- $294M
- Discretionary
- $294M
- Clients
- 74
- Avg AUM / client
- $4.0M
- Accounts
- 125
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 28, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 39 | $8.6M | 2.92% |
| High net worth individuals | 29 | $145M | 49.5% |
| Investment companies | 2 | $101M | 34.4% |
| Charitable organizations | 1 | $14.9M | 5.08% |
| Corporations and other businesses | 3 | $23.8M | 8.09% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Thomas Gerald Plumb | President, Managing Member | May 2002 (24y) | ≈ 56.25% – 100% via Tgp, Inc. | |
| Romani, Bonnie, Michelle | Chief Compliance Officer | Aug 2020 (6y) | Less than 5% | |
| Nathan Marek Plumb | Registered representative | Aug 2023 (3y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Tgp, Inc. | Sole Owner | Jan 2005 | A | 75% or more |
| Tgp, Inc. | Sole Owner | Feb 2011 | B | 75% or more of Wisconsin Capital Management, Llc (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Thomas Gerald Plumb: 75% – 100% of Tgp, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 08/31/2025 | 1.03 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: ENGAGING IN OUTSIDE BUSINESS ACTIVITIES AND PARTICIPATION IN UNDISCLOSED PRIVATE SECURITIES TRANSACTIONS. Status: Final Sanction Detail: START DATE 10/3/2022-02/02/2023, A FOUR MONTH SUSPENSION FROM ASSOCIATING WITH ANY FINRA MEMBER IN ALL CAPACITIES. Summary: NATHAN PLUMB SUBMITTED A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT (AWC) FOR THE PURPOSE OF A SETTLEMENT OF THE ALLEGED FINRA RULES 3270 AND 2010. THE AWC IS SUBMITTED ON THE CONDITION THAT FINRA WILL NOT BRING ANY FUTURE ACTIONS AGAINST RESPONDENT ALLEGING VIOLATIONS BASED ON THE SAME FACTUAL FINDINGS DESCRIBED IN THE ACCEPTED AWC WITH FINRA. THE SANCTIONS IMPOSED BY THIS AWC WAS EFFECTIVE ON 10/3/2022 THRU 2/2/2023.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
Custody
Reported custodians
- Charles Schwab & Co. $177M (60% of AUM) Aug 2026
- Sva Trust Company $45.3M (18% of AUM) Aug 2025
- UBS $4.5M (4% of AUM) Jan 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Aug 28, 2026.
View current Form ADV (SEC/IAPD) ↗