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KOWAL INVESTMENT GROUP, LLC

BROOKFIELD, WI · CRD 113169 · IAPD ↗ · (262) 522-4040

$1.11BRegulatory AUM
11Advisory reps
22Employees
0Clients
More than 500Planning clients
0Private funds
11States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
March 2025 — KOWAL INVESTMENT GROUP, LLC (BROOKFIELD, WI) left the SEC roster (was $1.11B RAUM, 11 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
50
April 2024 — KOWAL INVESTMENT GROUP, LLC moved its main office from WAUKESHA, WI to BROOKFIELD, WI.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
85
April 2024 — KOWAL INVESTMENT GROUP, LLC crossed $1B in regulatory AUM ($934.8M -> $1.11B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

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