Associated Investment Services, Inc.

Registered investment adviser · Green Bay, WI · CRD #1464

Form ADV data as of 2026-09-01

Regulatory assets

$1.17 billion

Total accounts

5,422

Employees

Disclosure events

Firm details

Website: http://www.associatedbank.com
Telephone: 800-595-7722
SEC file number: 801-71639
Most recent Form ADV filing: 2026-04-06
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 2 disclosure questions answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator found a violation of investment-related regulations or statutes
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$0
Non-discretionary regulatory assets under management	$1.17 billion
Total regulatory assets under management	$1.17 billion
Discretionary accounts	0
Non-discretionary accounts	5,422
Total accounts	5,422
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	60
Employees performing investment advisory functions (including research)	27
Employees who are registered representatives of a broker-dealer	48
Employees registered as investment adviser representatives with a state	39
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	39
Firms or persons who solicit advisory clients on the firm's behalf	1

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$1.17 billion
Clients for whom the firm has custody	3,853
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	$245.0 million
Clients for whom a related person has custody	2,879
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	1

How the firm is compensated

A percentage of assets under management

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Other

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Affiliated related persons

Other investment adviser (including financial planners)Banking or thrift institutionTrust companyPension consultantSponsor, general partner, or managing member of pooled investment vehicles

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:

Compensates a non-employee for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	3,264	$711.6 million
High net worth individuals	577	$452.6 million
Charitable organizations	5	$1.7 million
State or municipal government entities (including government pension plans)	Not reported	$1.8 million
Corporations or other businesses not listed above	6	$1.5 million