Sauk City, WI Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
J. W. Cole Advisors, Inc.
Enterprise
Firm-wide stats for J. W. Cole Advisors, Inc.
About
J.W. Cole Advisors operates through a large network of independent Investment Adviser Representatives (over 400 IARs, 481 advisors total) and provides fee‑based portfolio management, financial planning, retirement plan services, third‑party manager platforms, digital advice, and annuity sub‑account management for individuals, high‑net‑worth clients, and institutional accounts. The brochure describes both transaction‑based and wrap (asset‑based) managed program options, as well as access to the Fidelity‑sponsored FMAX platform and multiple third‑party investment advisers.
The firm’s advisers may manage accounts on a discretionary or non‑discretionary basis and use a mix of fundamental and technical analysis and model or manager‑based strategies; JWCA also documents its use of digital advice providers and a variety of custodial platforms when implementing client solutions. Many IARs are dually registered and may act as registered representatives or licensed insurance agents, and the brochure outlines the resulting conflicts of interest and supervisory controls associated with those dual roles.
Unlike most peers, JWCA is affiliated with a broker‑dealer (JWCF) under an expense‑sharing arrangement and describes extensive broker‑dealer activity, including commissionable product sales and custodial relationships, which the brochure treats as a material source of potential conflicts. The brochure also discloses that the firm and its materials may present predecessor performance, describes the firm’s use of forgivable loans and other incentives to recruit IARs, and includes a 2021 SEC enforcement matter relating to share‑class selection and revenue sharing.
Based on J. W. Cole Advisors, Inc.
Expertise
Based on J. W. Cole Advisors, Inc.
Location
603 Water Street, #5
Sauk City WI 53583
Advisors at this office
2
Advisors at this office
Claire W
CFP®, Series 63, Series 65
Sauk City, WI
J. W. Cole Advisors, Inc.
Claire Walmer is a CFP® with 22 years of industry experience currently serving as a financial advisor at J.W. Cole Advisors, Inc. She has previously worked at LPL Financial, Bankers' Bank, and OLD NATIONAL BANK. Outside of her advisory role, she owns and operates Sun Step Financial and provides financial planning services under contract with State Bank of Chilton. J.W. Cole Advisors is an SEC-registered investment adviser serving individuals, charities, corporations, and retirement plans through a national network of more than 400 independent investment adviser representatives. The firm offers portfolio management, fee-based financial planning, access to third-party investment managers, and multiple managed account solutions, combining discretionary and non-discretionary approaches with fundamental, technical, and algorithmic investment strategies.
Brooke P
Series 66
Sauk City, WI
J. W. Cole Advisors, Inc.
Brooke Palmer is a Series 66-licensed financial advisor with nine years of industry experience. She is currently with J.W. Cole Advisors, Inc. and J.W. Cole Financial, Inc., having joined in 2025. Her prior experience includes roles at LPL Financial, Bankers' Bank, and UBS Financial Services. Outside of her advisory work, Palmer has been involved with KD's Bar and Grill and the Lodi Volleyball Club. J.W. Cole Advisors is an SEC-registered investment adviser serving individuals, charities, corporations, and retirement plans through a network of over 400 independent representatives. The firm provides portfolio management, fee-based financial planning, access to third-party managers, and various managed account solutions, utilizing discretionary and non-discretionary investment approaches.
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