Annex Wealth Management, LLC

Registered investment adviser · Brookfield, WI · CRD #127987

Form ADV data as of 2026-09-01

Regulatory assets

$8.05 billion

Total accounts

22,003

Employees

151

Disclosure events

Firm details

Website: http://annexwealth.wistia.com
Telephone: 262-786-6363
SEC file number: 801-63505
Most recent Form ADV filing: 2026-04-17
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$7.81 billion
Non-discretionary regulatory assets under management	$239.5 million
Total regulatory assets under management	$8.05 billion
Discretionary accounts	21,926
Non-discretionary accounts	77
Total accounts	22,003
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	151
Employees performing investment advisory functions (including research)	74
Employees who are registered representatives of a broker-dealer	0
Employees registered as investment adviser representatives with a state	0
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	14
Firms or persons who solicit advisory clients on the firm's behalf	4

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	Yes
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$2.72 billion
Clients for whom a related person has custody	4,190
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	2

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshopsOther

Other business activities

Insurance broker or agentAccountant or accounting firmOther financial product salesperson

Affiliated related persons

Accountant or accounting firmInsurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	3,819	$2.25 billion
High net worth individuals	2,891	$5.25 billion
Pension and profit sharing plans (not the participants or government plans)	85	$540.5 million
Charitable organizations	7	$10.9 million
State or municipal government entities (including government pension plans)	Not reported	$127,481
Corporations or other businesses not listed above	Not reported	$2.1 million