SourcingSourcing

CONCEPTUAL FINANCIAL ADVISORS, LLC

B53
CRD 167513·SEC 801-123428·APPLETON, WI
AUM
$189.9M
$100M-$500M
Est. Revenue
$1.9M
@ 1% on AUM
Est. EBITDA
$570K
@ 30% margin
Est. Deal Value
$4.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CONCEPTUAL FINANCIAL ADVISORS, LLC
CRD
167513
SEC file #
801-123428
EIN
—
DBA names
—

Economics

AUM
$189.9M
AUM band
$100M-$500M
AUM trajectory
'23'26
$120.1M → $189.9M▲ +58%
Client mix
Individuals Other347
Individuals High Net Worth72
Pension Profit Sharing Plans7

Operations

Employees (total)
4
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'23'26
1 advisors → 1 advisors▬ 0%
Primary office
APPLETON WI
Branches
—

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
01/15/2026
ADV-W filed at
—
Website
ontrackadvisor.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
NEHRING, CHAD, LEE
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
NEHRING, CHAD, LEE
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
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
ONTRACKADVISOR.COM
Rdap Domain Creation Date
2017-11-22T19:47:49Z
Rdap Firm Age Years
9
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.2561
Soi Zip Pct 200k Plus
0.0512
Soi Zip Returns 200k Plus
1,130
Soi Zip Total AGI
1,833,028
Fdic Zip Total Deposits
11,751,637,000
Fdic Zip Branch Count
423
Fdic Zip Top Banks
Associated Bank, National Association
JPMorgan Chase Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
1
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Lpl Financial4
E*trade4
Fdic Zip Branches Raw
Citizens Bank, National AssociationAppleton, WI
F & M Bank-KaukaunaAppleton, WI
Fdic Zip HHI
1128.58
Fdic Zip Top Bank Share Pct
28.5
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-11-22T19:47:49Z
Rdap Domain Last Changed
2023-09-21T21:05:35Z
Rdap Nameservers
Ns-1243.awsdns-27.orgNs-1704.awsdns-21.co.ukNs-378.awsdns-47.comNs-638.awsdns-15.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI64,826
Returns5,320
Stub 2
AGI183,402
Returns4,910
Stub 3
AGI225,016
Returns3,650
Soi Zip Total Business Income
44,575
Soi Zip Total Cap Gains
83,621
Soi Zip Total Dividends
26,811
Soi Zip Total Returns
22,060
Top Owner CRD
4417406
Trust Company Affiliate
No

People (1)

1
NEHRING, CHAD, LEE
IAR · Direct Owner · 87.5%
4417406