ERN FINANCIAL, LLC

https://www.linkedin.com/company/canopy-wealth-management/ MIDDLETON, WI How do I update this listing?

ERN Financial is based out of Middleton. ERN Financial is a large advisory firm with 403 clients and discretionary assets under management (AUM) of $517,030,803 (Form ADV from 2018-11-30). Their last reported 13F filing for Q4 2018 included $111,473,000 in managed 13F securities and a top 10 holdings concentration of 62.78%. ERN Financial's largest holding is American Electric Power Co. (American Gas & Electric) with shares held of 276,178. Whalewisdom has at least 1 13F filings

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12/31/2018

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12/31/2018

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13F Filings Available:
  • 2018-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CANOPY WEALTH MANAGEMENT
8215 GREENWAY BOULEVARD SUITE 540
MIDDLETON WI    53562
Country: United States

Business Phone: 608-662-9018
Fax: 608-646-7796
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: MI
Number of employees: 8
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges
Amount of client funds and securities:
Total Number of Clients: 403
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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ERN FINANCIAL, LLC

ownership team - last updated 2018-11-30
Name Title Start Date Direct/Indirect % Ownership
Conwell, Scott, O CHIEF COMPLIANCE OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC CHIEF COMPLIANCE OFFICER direct 2018-06-01
MOOSHERR, ERNEST, PATRICK CHIEF EXECUTIVE OFFICER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC CHIEF EXECUTIVE OFFICER direct 2018-05-01
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01
RAETHER, ERIC, DAVID PRESIDENT 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC PRESIDENT direct 2018-05-01
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01
ERN MICHIGAN, INC. MEMBER 05/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC MEMBER direct 2018-05-01
ERN WISCONSIN, INC. MEMBER 05/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC MEMBER direct 2018-05-01
MOOSHERR, ERNEST, PATRICK MEMBER ERN MICHIGAN, INC. 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC CHIEF EXECUTIVE OFFICER direct 2018-05-01
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01
RAETHER, ERIC, DAVID MEMBER ERN WISCONSIN, INC. 05/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC PRESIDENT direct 2018-05-01
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01
MUEHL, DAVID, MICHAEL MEMBER ERN WISCONSIN, INC. 05/01/2018 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
ERN FINANCIAL, LLC MEMBER indirect 2018-05-01

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