SourcingSourcing

LEVERTY FINANCIAL GROUP, LLC

C28
CRD 310258·SEC 801-119342·HUDSON, WI
AUM
$676.8M
$500M-$1B
Est. Revenue
$6.8M
@ 1% on AUM
Est. EBITDA
$2.0M
@ 30% margin
Est. Deal Value
$16.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
LEVERTY FINANCIAL GROUP, LLC
CRD
310258
SEC file #
801-119342
EIN
853028301
DBA names
—

Economics

AUM
$676.8M
AUM band
$500M-$1B
AUM trajectory
'21'26
$291.1M → $676.8M▲ +133%
Client mix
Individuals Other392
Individuals High Net Worth263
Corporations6
Charitable Organizations3
Pension Profit Sharing Plans1

Operations

Employees (total)
8
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'21'26
5 advisors → 6 advisors▲ +20%
Primary office
HUDSON WI
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LEVERTY, MICHAEL, THOMAS
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
LEVERTY, MICHAEL, THOMAS
HAWKINS, JOSHUA, QUENTIN
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
fallback_guess:leverty.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
Yes
Form 5500 Plan Count
2
Form 5500 Total Participants
7
Form 5500 Total Compensation
17,578
Form 5500 Compensation Trajectory 3y
202517,578
20240
Form 5500 Plan Count Trajectory 3y
20241
20251
Schedule C Total Compensation
17,578
Schedule C Service Provider Rows
2

SEC EDGAR

Edgar Cik
0001908386
Edgar Registered
Yes
Edgar Filing Count
21
Edgar First Filing Date
2022-02-09
Edgar Last Filing Date
2026-04-09
Edgar 13f Count
19
Edgar 13f Latest AUM Estimate
Filing Date2026-04-09
Accession0002085853-26-000307

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.4112
Soi Zip Pct 200k Plus
0.1533
Soi Zip Returns 200k Plus
2,580
Soi Zip Total AGI
2,389,297
Fdic Zip Total Deposits
17,364,737,000
Fdic Zip Branch Count
455
Fdic Zip Top Banks
Associated Bank, National Association
Wells Fargo Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (22)

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
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Pershing4
E*trade4
Edgar Addresses
Mailing
201 2ND STREET SOUTHHUDSON, WI 54016
Business
201 2ND STREET SOUTHHUDSON, WI 54016
Edgar EIN
853028301
Edgar Recent Filings
13F-HR2026-04-09 · 0002085853-26-000307
13F-HR2026-01-09 · 0002085853-26-000020
Fdic Zip Branches Raw
Bank St. CroixHudson, WI
Landmark BankHudson, WI
Fdic Zip HHI
1149.28
Fdic Zip Top Bank Share Pct
25.77
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI38,853
Returns3,360
Stub 2
AGI95,143
Returns2,530
Stub 3
AGI138,382
Returns2,230
Soi Zip Total Business Income
43,885
Soi Zip Total Cap Gains
175,829
Soi Zip Total Dividends
51,933
Soi Zip Total Returns
16,830
Top Owner CRD
4518320
Trust Company Affiliate
No

People (7)

7
LEVERTY, MICHAEL, THOMAS
IAR · Direct Owner · 87.5%
4518320
HAWKINS, JOSHUA, QUENTIN
IAR · Direct Owner · 17.5%
5966798
PIZZI, HOLLY, KATHLEEN
Executive Officer · 2.5%
7081488
LUKE EDWARD KEENE
IAR
5366528
Seth William Blum
IAR
7819340
Matthew Gendreau
IAR
8069693
Michael John Nelson
IAR
6330256