Madison, WI Marketplace Drive 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
2923 Marketplace Drive
Madison WI 53719
Advisors at this office
4
Advisors at this office
Zachary M
Series 65, Series 63
Madison, WI
ON Investment Management CO
Zachary Morley is a financial advisor with ON Investment Management Company in Madison, WI, holding Series 65 and Series 63 licenses and 11 years of industry experience. He has longstanding affiliations with The O.N. Equity Sales Company, Ohio National Financial Service, and Wisconsin Financial, all since 2015. Morley serves on the board of directors for Easter Seal Wisconsin, a nonprofit organization. ON Investment Management Company is a SEC-registered investment adviser providing financial planning, portfolio management, and retirement-plan advisory services to individuals, families, trusts, charitable organizations, businesses, and ERISA plan sponsors. The firm offers a mix of discretionary and non-discretionary asset management through third-party programs and maintains a dual-registration model combining advisory and broker-dealer activities.
Arthur S
ChFC®, Series 63
Madison, WI
ON Investment Management CO
Arthur Sanger is a financial advisor with ON Investment Management Company based in Madison, WI. He holds the ChFC® and Series 63 designations and has 50 years of industry experience. His career includes long-term roles at Wisconsin Financial Advisors, THE O.N. Equity Sales Company, Penn Mutual Life Insurance Company, and Wisconsin Financial Group, where he is also president and owner. ON Investment Management Company is a registered investment adviser serving individuals, families, trusts, estates, charitable organizations, businesses, and ERISA plan sponsors. The firm provides financial planning, portfolio management, and retirement-plan advisory services through a combination of comprehensive plans, third-party investment programs, and a dual-registration broker-dealer model.
Marisa M
Series 65, Series 63
Madison, WI
ON Investment Management CO
Marisa Menzel is a financial advisor at ON Investment Management Company with 14 years of industry experience. She holds Series 63 and Series 65 credentials and has been with ON Investment Management and its affiliated firms since 2013. In addition to her advisory role, she is also involved in insurance sales and provides administrative and sales support through Wealth Building Cornerstones LLC. ON Investment Management Company serves individuals, families, trusts, charitable organizations, businesses, and retirement-plan sponsors, offering financial planning, portfolio management, and access to various third-party investment programs. The firm operates under a dual-registration model, combining advisory and broker-dealer services.
Jason S
Series 66
Madison, WI
ON Investment Management CO
Jason Sanger is a financial advisor at ON Investment Management Company with 18 years of industry experience. He holds a Series 66 designation and has worked at Wisconsin Financial Advisors, The O.N. Equity Sales Company, and Ohio National Financial Services. Outside of advisory work, he is involved in insurance sales and training agents on a sales system through Wealth Building Cornerstone, LLC. ON Investment Management Company is a SEC-registered adviser serving individuals, families, trusts, estates, charitable organizations, businesses, and ERISA plan sponsors. The firm offers financial planning, portfolio management, and retirement-plan advisory services, utilizing a combination of third-party investment programs and both discretionary and non-discretionary account management.
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