Poehling Capital Management, Inc. (Madison)

Name: Poehling Capital Management, Inc.
Address: 525 Junction Road, Madison, WI, 53717
Telephone: (608) 664-9600

Poehling Capital Management, Inc. is a large advisory firm based in Madison. It manages $228.57 million of regulatory assets for 1,096 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of California, Florida, Minnesota, Texas, and Wisconsin.

Poehling Capital Management provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Poehling Capital Management: assets under management

The assets under management (AUM) of Poehling Capital Management, Inc. is $228.57 million. The firm's AUM has grown by 543% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $228.28 million in discretionary accounts and $282.59 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $208.67 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $141.3 thousand.

Poehling Capital Management has custody of $148.5 million in cash and securities for 385 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 43% of the total AUM. The second-largest asset type is investment and business development companies, which make up 41% of the firm’s portfolio. Investments in cash and cash equivalents form 16% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Poehling Capital Management, Inc. for their services and products based on a percentage of assets under management and hourly charges. 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 Poehling Capital Management serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, and corporations or other businesses. The largest group of clients of Poehling Capital Management is high net worth individuals with 80 clients and $150.31 million of assets under management. Among the 9 most similar advisory firms, Poehling Capital Management has the 4th lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $228.57 million for 365 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.

Poehling Capital Management doesn't advise any private funds.

Careers at Poehling Capital Management, Inc.

The company employs 5 people that are either part- or full-time employees. 80 percent of the employees work as investment advisers or researchers. 4 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 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
Thomas Ronald Poehling	President, secretary, treasurer	1 May 2004	75% - 100%	2049205
Patrick William Poehling	Vice president	1 May 2004	Other	4292865
Gery Joseph Sadzewicz	Chief compliance officer	1 Oct 2011	Other	1090963

Based in Madison

The principal office where Poehling Capital Management, Inc. performs its advisory services is located at 525 Junction Road, Madison, WI 53717, which is also the mailing address of the firm. An additional office of the firm is in La Crosse, WI. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (608) 664-9600 or by fax (608) 664-9601. The normal business hours are 8:00 a.m. to 4:30 p.m. on Monday - Friday. You can find more information about the New York firm at poehlingcapital.com and its LinkedIn profile.