Wacker & Associates, Inc.
Registered investment adviser · Jackson, MN · CRD #159879
Form ADV data as of 2026-09-01Regulatory assets
$180.2 million
Total accounts
421
Employees
4
Disclosure events
2
Firm details
- Telephone: 507-847-3886
- SEC file number: 801-132015
- Most recent Form ADV filing: 2026-04-13
- 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.
- A self-regulatory organization found a false statement or omission
- A self-regulatory organization expelled, suspended, barred, or restricted the firm
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $80.6 million |
| Non-discretionary regulatory assets under management | $99.5 million |
| Total regulatory assets under management | $180.2 million |
| Discretionary accounts | 322 |
| Non-discretionary accounts | 99 |
| Total accounts | 421 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 4 |
| Employees performing investment advisory functions (including research) | 3 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 3 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
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 | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Affiliated related persons
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
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 133 | $42.9 million |
| High net worth individuals | 39 | $52.9 million |
| Pension and profit sharing plans (not the participants or government plans) | 4 | $72.4 million |
| Charitable organizations | 3 | $7.4 million |
| Corporations or other businesses not listed above | 4 | $4.6 million |