Cleveland Hauswirth Investment Management, Inc. (Milwaukee)

Name: Cleveland Hauswirth Investment Management, Inc.
Address: 220 E. Buffalo Street, Suite 301, Milwaukee, WI, 53202
Telephone: 414-431-6491

Cleveland Hauswirth Investment Management, Inc. is a large advisory firm based in Milwaukee. It manages $144.78 million of regulatory assets for 117 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdiction of Wisconsin.

Cleveland Hauswirth Investment Management provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Cleveland Hauswirth Investment Management: assets under management

The assets under management (AUM) of Cleveland Hauswirth Investment Management, Inc. is $144.78 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 12% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $144.78 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.24 million each.

Cleveland Hauswirth Investment Management has custody of $18.55 million in cash and securities for 20 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Cleveland Hauswirth Investment Management, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Cleveland Hauswirth Investment Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Cleveland Hauswirth Investment Management is individuals with 51 clients and $123.17 million of assets under management. Among the 8 most similar advisory firms, Cleveland Hauswirth Investment Management has the 3rd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $144.78 million for 61 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Cleveland Hauswirth Investment Management doesn't advise any private funds.

Careers at Cleveland Hauswirth Investment Management, Inc.

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Roy Larue Hauswirth	President, treasurer, chief compliance officer	1 Jun 2004	50% - 75%	1990237
Nancy Dunham Cleveland	Vice president, secretary	1 Jun 2004	50% - 75%	1499216

Based in Milwaukee

The principal office where Cleveland Hauswirth Investment Management, Inc. performs its advisory services is located at 220 E. Buffalo Street, Suite 301, Milwaukee, WI 53202, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 414-431-6491 or by fax 414-431-6492. The normal business hours are 8:00am to 4:00pm on Monday - Friday. You can find more information about the New York firm at clevelandhauswirth.com/.