Appleton, WI Office
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ON Investment Management CO
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Firm-wide stats for ON Investment Management CO
About
O.N. Investment Management Company (ONIMCO) is a SEC-registered investment adviser and a subsidiary of The O.N. Equity Sales Company (ONESCO) that provides financial planning, portfolio management, and retirement-plan advisory services to individuals (including high-net-worth clients), families, trusts, estates, charitable organizations, businesses, and ERISA plan sponsors. Services include comprehensive and modular financial plans, specialized hourly or fixed-fee services, and access to a range of third-party investment programs (for example, American Funds, Envestnet, SEI, AssetMark) as well as IAR-directed Envestnet programs.
Advisers at ONIMCO commonly hold FINRA Series 6/7 and/or Series 65/66 credentials and frequently act as registered representatives of the affiliated broker-dealer, recommending third-party managers or constructing portfolios in IAR-directed programs. Although the firm offers discretionary Envestnet programs where IARs may exercise discretion, ONIMCO reports that most of its assets under management are non-discretionary ($2,248,084,369 non-discretionary vs. $904,464,800 discretionary), and client accounts are managed through a mix of discretionary third-party managers and non-discretionary advisory relationships.
What is notable relative to many large advisers is the firm’s ongoing broker-dealer activity and dual-registration model—its IARs often transact as registered representatives and ONIMCO maintains solicitor arrangements and revenue relationships with program sponsors. The brochure also discloses a prior SEC enforcement matter concerning mutual fund share-class selection and revenue sharing (resulting in an SEC order, remediations including rebating 12b-1 fees since March 2017, and payments of disgorgement, prejudgment interest, and a monetary penalty), which the firm identifies as a significant compliance and remediation item.
Based on ON Investment Management CO
Expertise
Based on ON Investment Management CO
Location
831 W. Northland Ave
Appleton WI 54914
Advisors at this office
3
Advisors at this office
Trevor P
Series 63, Series 65
Appleton, WI
ON Investment Management CO
Trevor Pfrang is a financial advisor with ON Investment Management CO in Appleton, WI, holding Series 63 and Series 65 credentials and bringing 29 years of industry experience. He has worked with Wisconsin Financial Advisors since 2009 and The O.N. Equity Sales Company and Guardian Life Insurance Company of America since the early 2000s. Outside of advising, he is active in selling life disability insurance. ON Investment Management Company is a SEC-registered adviser serving individuals, families, trusts, charitable organizations, businesses, and retirement plan sponsors. The firm offers financial planning, portfolio management, and access to various third-party investment programs, providing a mix of discretionary and non-discretionary asset management.
April H
Series 66
Appleton, WI
ON Investment Management CO
April Hahn is a financial advisor with ON Investment Management Company in Appleton, WI, holding a Series 66 credential and bringing 12 years of industry experience. She has worked previously at SII Investments, Inc. and has been associated with The O.N. Equity Sales Company and Wisconsin Financial Group since 2017. In addition to her advisory role, she serves as an office manager for Wisconsin Financial Group, handling office tasks and supporting representatives. ON Investment Management Company is a SEC-registered investment adviser that provides financial planning, portfolio management, and retirement-plan advisory services to individuals, families, trusts, charitable organizations, businesses, and ERISA plan sponsors. The firm offers a combination of discretionary and non-discretionary management, utilizing third-party investment programs and a dual-registration model involving broker-dealer activities.
Francis H
Series 66
Appleton, WI
ON Investment Management CO
Francis Haanen is a financial advisor at ON Investment Management CO with one year of industry experience. He holds the Series 66 designation and has worked at several firms, including Wisconsin Financial and UWGB. ON Investment Management Company (ONIMCO) provides financial planning, portfolio management, and retirement-plan advisory services to individuals, families, trusts, estates, charitable organizations, businesses, and ERISA plan sponsors. The firm offers a range of third-party investment programs and manages client accounts through both discretionary and non-discretionary arrangements.
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