ANNEX ADVISORY SERVICES, LLC

HTTP://WWW.ANNEXADVISORS.COM ELM GROVE, WI Investment Advisor How do I update this listing?

Annex Advisory Services is based out of Elm Grove. Annex Advisory Services is a large advisory firm with 5540 clients and discretionary assets under management (AUM) of $1,656,794,679 (Form ADV from 2017-06-01). Their last reported 13F filing for Q4 2018 included $634,334,000 in managed 13F securities and a top 10 holdings concentration of 66.53%. Annex Advisory Services's largest holding is Vanguard Total Stock Market ETF with shares held of 534,799. Annex Advisory Services has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 27 13F filings

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12/31/2018

13F Sector Allocation Over Time

12/31/2018

13F Activity

  • Market Value $634.334 Million
  • Prior Market Value $647.085 Million
  • New Purchases10 stocks
  • Additional Purchases74 stocks
  • Sold out of15 stocks
  • Reduced holdings in33 stocks
  • Top 10 Holdings % 66.53 %
  • Turnover % [1]:19.38%
  • Turnover Alt % [2]: 14.77 %
  • Time Held Top20:13.00 quarters
  • Time Held Top10:15.20 quarters
  • Time Held All:12.51 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-02-14

Performance for Q4 2018: -0.43%
Performance Last 4 Quarters: 1.18%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

ANNEX WEALTH MANAGEMENT, LLC
12700 W BLUEMOUND ROAD SUITE 200
ELM GROVE WI    53122
Country: United States

Business Phone: 262-786-6363
Fax: 262-792-8930
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: WI
Number of employees: 69
Other Business Activities: registered representative of a broker-dealer,insurance broker or agent,,TAX PREPARATION SERVICES
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Commissions
Amount of client funds and securities:
Total Number of Clients: 5540
Amount of client funds and securities by related persons: 1,613,700,000
Total Number of clients from related persons: 4667
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Non-derivative Insider Transactions Since 12/31/2018

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ANNEX ADVISORY SERVICES, LLC

ownership team - last updated 2017-08-31
Name Title Start Date Direct/Indirect % Ownership
OSWALD, MARK, MICHAEL CHIEF COMPLIANCE OFFICER 07/01/2003 Direct less than 5%
Fund Name Position direct/indirect start date end date
ANNEX ADVISORY SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2003-07-01
INVESTMENT CENTERS OF AMERICA, INC. CCO/VP direct 2000-10-01 2002-07-01
INVESTMENT CENTERS OF AMERICA, INC. CCO direct 2000-10-01 2003-06-05
SII INVESTMENTS, INC. CCO direct 1998-08-01 2003-06-19
ANNEX ADVISORY SERVICES, LLC MANAGING PARTNER direct 2003-07-01 2005-09-09
ANNEX ADVISORY SERVICES, LLC MANAGING PARTNER - CHIEF COMPLIANCE OFFICER direct 2003-07-01 2010-03-16
ANNEX ADVISORY SERVICES, LLC MANAGING MEMBER - CHIEF COMPLIANCE OFFICER direct 2003-07-01 2010-12-02
SPANO, DAVID, JOSEPH MEMBER/PRESIDENT 07/01/2003 Direct 75% or more
Fund Name Position direct/indirect start date end date
ANNEX ADVISORY SERVICES, LLC PRESIDENT direct 2003-07-01
ANNEX ADVISORY SERVICES, LLC MEMBER/PRESIDENT direct 2003-07-01

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