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TOWER VIEW WEALTH MANAGEMENT LLC

· CRD 108739 · IAPD ↗ · 414-253-4096

$317.9MRegulatory AUM
4Advisory reps
6Employees
0Clients
51-100Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

61
April 2026 — TOWER VIEW WEALTH MANAGEMENT LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2026 — TOWER VIEW WEALTH MANAGEMENT LLC grew from 2 to 4 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
68
January 2026 — TOWER VIEW WEALTH MANAGEMENT LLC now reports custody of client assets ($3.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
45
April 2025 — TOWER VIEW WEALTH MANAGEMENT LLC notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2024 — TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC is now doing business as TOWER VIEW WEALTH MANAGEMENT LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
61
April 2024 — TOWER VIEW WEALTH MANAGEMENT LLC reports 26-50 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.