Sva Plumb Wealth Management, LLC (Madison)

Sva Plumb Wealth Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Sva Plumb Wealth Management: assets under management

The assets under management (AUM) of Sva Plumb Wealth Management, LLC is $2.6 billion. The firm's AUM has grown by 186% since the beginning of its operation, and $735.39 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $2.57 billion in discretionary accounts and $30.62 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $534.1 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $900.56 thousand.

Sva Plumb Wealth Management has custody of $1.07 billion in cash and securities for 906 clients in total and its related person acts as a qualified custodian.

Investments

The firm invests in non-exchange traded securities the most. They account for 58% of the total AUM. The second-largest asset type is exchange traded securities, which make up 36% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sva Plumb Wealth Management, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Thomas Gerald Plumb serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Thomas Gerald Plumb is high net worth individuals with 639 clients and $1.51 billion of assets under management. Among the 10 most similar advisory firms, Sva Plumb Wealth Management has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $2.1 billion for 1,337 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Sva Plumb Wealth Management doesn't advise any private funds.

Careers at Sva Plumb Wealth Management, LLC

The company employs 63 people that are either part- or full-time employees. 59 percent of the employees work as investment advisers or researchers. 35 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Thomas Gerald Plumb has been acting as President since 1 Mar 2011. Daniel Guyan Gibson joined the executive team most recently as the Vice President.

Direct owners and executive officers

Indirect Owners

The SEC currently registers 10 indirect owners.

Based in Madison

The principal office where Sva Plumb Wealth Management, LLC performs its advisory services is located at 1221 John Q Hammons Drive, Madison, WI 53717 4966 The mailing address of the firm is P. O. Box 44966, Madison, WI 53744 4966. An additional office of the firm is in Brookfield, WI. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 608-824-8800 or by fax 608-824-2101. The normal business hours are 8 a.m. - 5 p.m. on Monday - Friday. You can find more information about the New York firm at svaplumb.com.

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