Kellogg Asset Management, Llc
- Regulatory AUM
- $2.9B
- Discretionary
- $2.9B
- Clients
- 1
- Avg AUM / client
- $2.9B
- Accounts
- 104
- Employees
- 9
AUM over time
Annual snapshots from Form ADV filings · as of Mar 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Banking or thrift institutions | Fewer than 5 clients | $1.5B | 51.7% |
| Pooled investment vehicles (non-investment companies) | 1 | $1.1B | 39.1% |
| State or municipal government entities | Fewer than 5 clients | $8.0M | 0.28% |
| Other investment advisers | Fewer than 5 clients | $254M | 8.88% |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Patrick Andrew Fry | Elected Manager | CFA | Jan 2009 (18y) | Less than 5% |
| Chan C.M. Barden | Elected Manager | CFA | Aug 2013 (13y) | Less than 5% |
| Pecora, Anthony, Philip | Chief Compliance Officer | Aug 2017 (9y) | Less than 5% | |
| Michael Robert Hochholzer | Managing Agent | CFA | Nov 2017 (9y) | Less than 5% |
| John Boyden Duffy | Registered representative | Jan 2010 (17y) | ||
| Jon Lee Sattler | Registered representative | CFA | Jul 2011 (15y) | |
| Gary Lee Rolain | Registered representative | CFA | Oct 2013 (13y) | |
| Rolf Georg Sloan Johnsen | Registered representative | Dec 2018 (8y) | ||
| Samuel Paul Jacobsen | Registered representative | CFA | Dec 2022 (4y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Associated Trust Company | Sole Member | May 2016 | A | 75% or more |
| Associated Bank, N.A. | Sole Shareholder | May 2016 | B | 75% or more of Associated Trust Company, N.A. (indirect) |
| Associated Banc Corp | Sole Shareholder | Jan 1995 | B | 75% or more of Associated Bank, N.A. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 03/26/2026 | 1.14 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Associated Trust Company, N.A. $1.1B (39% of AUM) Mar 2026
- Bell Bank $273M (10% of AUM) Mar 2026
- National Financial Services (Fidelity) $254M (9% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Mar 26, 2026.
View current Form ADV (SEC/IAPD) ↗