SourcingSourcing

WARNKE/NICHOLS LTD.

B57
CRD 112181·SEC 801-79230·DELAFIELD, WI
AUM
$160.0M
$100M-$500M
Est. Revenue
$1.6M
@ 1% on AUM
Est. EBITDA
$480K
@ 30% margin
Est. Deal Value
$3.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WARNKE/NICHOLS LTD.
CRD
112181
SEC file #
801-79230
EIN
—
DBA names
—

Economics

AUM
$160.0M
AUM band
$100M-$500M
AUM trajectory
'20'26
$139.2M → $160.0M▲ +15%
Client mix
Individuals Other196
Individuals High Net Worth45

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
2 advisors → 2 advisors▬ 0%
Primary office
DELAFIELD WI
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
02/02/2026
ADV-W filed at
—
Website
warnkenichols.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
WARNKE, WILLIAM, ROLAND
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
WARNKE, WILLIAM, ROLAND
RAMER, ANDY, PATRICK
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
WARNKENICHOLS.COM
Rdap Domain Creation Date
2001-05-24T15:43:25Z
Rdap Firm Age Years
25
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-05-24T15:43:25Z
Rdap Domain Last Changed
2026-03-25T06:25:07Z
Rdap Nameservers
Ns65.worldnic.comNs66.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
4398470
Trust Company Affiliate
No

People (3)

3
WARNKE, WILLIAM, ROLAND
IAR · Direct Owner · 62.5%
4398470
ANDY PATRICK RAMER
Direct Owner · 37.5%
5125831
NICHOLS, STEVEN, ROSS
IAR · Direct Owner · 17.5%
2006460