APPLETON GROUP, LLC

HTTP://WWW.APPLETONGROUPONLINE.COM APPLETON, WI Investment Advisor How do I update this listing?

Appleton Group is based out of Appleton. Appleton Group is a large advisory firm with 227 clients and discretionary assets under management (AUM) of $172,151,874 (Form ADV from 2019-12-01). Their last reported 13F filing for Q2 2020 included $83,066,000 in managed 13F securities and a top 10 holdings concentration of 88.54%. Appleton Group's largest holding is Schwab U.S. Large-Cap Growth ETF with shares held of 157,009. Whalewisdom has at least 41 13F filings

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06/30/2020

13F Activity

  • Market Value $83.066 Million
  • Prior Market Value $19.814 Million
  • New Purchases17 stocks
  • Additional Purchases8 stocks
  • Sold out of2 stocks
  • Reduced holdings in3 stocks
  • Top 10 Holdings % 88.54 %
  • Turnover % [1]:63.33%
  • Turnover Alt % [2]: 72.64 %
  • Time Held Top20:2.15 quarters
  • Time Held Top10:2.00 quarters
  • Time Held All:13.40 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.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 19.8%
Performance Last 4 Quarters: -3.4%
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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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

THE APPLETON GROUP, LLC
100 W. LAWRENCE ST SUITE 306
APPLETON WI    54911
Country: United States

Business Phone: 920/993-7727
Fax: 920/993-7779
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: WI
Number of employees: 8
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 25,699,700
Total Number of Clients: 227
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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THE APPLETON GROUP, LLC

ownership team - last updated 2020-06-29
Name Title Start Date Direct/Indirect % Ownership
SCHEFFLER, MARK, CHRISTOPHER CHIEF EXECUTIVE OFFICER 12/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2002-04-01
APPLETON GROUP WEALTH MANAGEMENT LLC MANAGING MEMBER indirect 2005-01-01
THE APPLETON GROUP, LLC MEMBER direct 2002-02-01 2003-10-20
THE APPLETON GROUP, LLC MANAGING MEMBER direct 2002-02-01 2005-04-25
THE APPLETON GROUP, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2002-02-01 2008-01-11
APPLETON GROUP WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2002-04-01 2015-04-14
HELLER, LARRY, L MINORITY OWNER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC MINORITY OWNER direct 2005-01-01
THE APPLETON GROUP, LLC MEMBER direct 2006-04-01
SCHNEIDER, DIANE, O MINORITY OWNER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC MINORITY OWNER direct 2005-01-01
THE APPLETON GROUP, LLC MEMBER direct 2006-04-01
ANDERSON, KAREN, MARIE CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER direct 2016-01-01

THE APPLETON GROUP, LLC

ownership team - last updated 2020-03-31
Name Title Start Date Direct/Indirect % Ownership

THE APPLETON GROUP, LLC

ownership team - last updated 2019-03-21
Name Title Start Date Direct/Indirect % Ownership
SCHEFFLER, MARK, CHRISTOPHER CHIEF EXECUTIVE OFFICER 12/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2002-04-01
APPLETON GROUP WEALTH MANAGEMENT LLC MANAGING MEMBER indirect 2005-01-01
THE APPLETON GROUP, LLC MEMBER direct 2002-02-01 2003-10-20
THE APPLETON GROUP, LLC MANAGING MEMBER direct 2002-02-01 2005-04-25
THE APPLETON GROUP, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2002-02-01 2008-01-11
APPLETON GROUP WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2002-04-01 2015-04-14
HELLER, LARRY, L MINORITY OWNER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC MINORITY OWNER direct 2005-01-01
THE APPLETON GROUP, LLC MEMBER direct 2006-04-01
SCHNEIDER, DIANE, O MINORITY OWNER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC MINORITY OWNER direct 2005-01-01
THE APPLETON GROUP, LLC MEMBER direct 2006-04-01
ANDERSON, KAREN, MARIE CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER direct 2016-01-01

THE APPLETON GROUP, LLC

ownership team - last updated 2017-03-22
Name Title Start Date Direct/Indirect % Ownership
SCHEFFLER, MARK, CHRISTOPHER CHIEF EXECUTIVE OFFICER 04/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2002-04-01
APPLETON GROUP WEALTH MANAGEMENT LLC MANAGING MEMBER indirect 2005-01-01
THE APPLETON GROUP, LLC MEMBER direct 2002-02-01 2003-10-20
THE APPLETON GROUP, LLC MANAGING MEMBER direct 2002-02-01 2005-04-25
THE APPLETON GROUP, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2002-02-01 2008-01-11
APPLETON GROUP WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2002-04-01 2015-04-14
APPLETON ADVISORS LLC HOLDING COMPANY 01/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
APPLETON GROUP WEALTH MANAGEMENT LLC HOLDING COMPANY direct 2005-01-01
OGILVIE, DAVID, ANDREW MINORITY OWNER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC MEMBER direct 2005-01-01
THE APPLETON GROUP, LLC MINORITY OWNER direct 2005-01-01
OGILVIE, ANDREW, DAVID MINORITY OWNER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC MEMBER direct 2005-01-01
THE APPLETON GROUP, LLC MINORITY OWNER direct 2005-01-01
HELLER, LARRY, L MINORITY OWNER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC MINORITY OWNER direct 2005-01-01
THE APPLETON GROUP, LLC MEMBER direct 2006-04-01
SCHNEIDER, DIANE, O MINORITY OWNER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC MINORITY OWNER direct 2005-01-01
THE APPLETON GROUP, LLC MEMBER direct 2006-04-01
ANDERSON, KAREN, MARIE CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER direct 2016-01-01
SCHEFFLER, MARK, CHRISTOPHER MANAGING MEMBER APPLETON ADVISORS, LLC 01/01/2005 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
THE APPLETON GROUP, LLC CHIEF EXECUTIVE OFFICER direct 2002-04-01
APPLETON GROUP WEALTH MANAGEMENT LLC MANAGING MEMBER indirect 2005-01-01
THE APPLETON GROUP, LLC MEMBER direct 2002-02-01 2003-10-20
THE APPLETON GROUP, LLC MANAGING MEMBER direct 2002-02-01 2005-04-25
THE APPLETON GROUP, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2002-02-01 2008-01-11
APPLETON GROUP WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2002-04-01 2015-04-14

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